BETTER GOVERNANCE APPROACH
FOR IDPS IN BAGHDAD
2 BETTER GOVERNANCE APPROACH FOR IDPS IN BAGHDAD
A mother and her two children in their doorway. NRC
BETTER GOVERNANCE APPROACH FOR IDPS IN BAGHDAD 3
SUMMARY
In Baghdad NRC identified significant governance
barriers to durable solutions for internally displaced
persons (IDPs) living in urban informal settlements.
From 2010 to 2013, the programme that resulted from
this analysis worked to build bridges between IDPs
and local government, creating capacity on both sides
and partnering with UN-HABITAT to advocate with the
Iraqi government. This work demonstrates the need
for, and value of, deep political analysis in a complex
context like Baghdad, as well as the significant long
term benefits which can be made from building trust
and dialogue between IDPs and those responsible for
upholding their rights.
CONTEXT
Iraq is faced with a multi layered displacement
crisis, with Baghdad often the recipient of IDPs from
elsewhere in the country as well as being a centre
of sectarian violence itself. 1.2 million Iraqis were
displaced in the period between March 2003 and
January 2006, and 1 million more from 2006 until
20091 when violence increased in Baghdad itself.
Between 2009 and 2013 somewhat decreased levels
of violence allowed some of the population to return to
their places of origin2.
Baghdad is the capital city of Iraq, with a population
of circa 7.26m in 20113. Since 2010 there has been
a concerted effort to rebuild Baghdad, improve
services, and increase the available housing stock.
There are more than 200,000 IDPs, in addition to other
impoverished persons, living in 125 (registered) informal
settlements in Baghdad4. 50% of the registered IDPs
reside in informal settlements, illegally occupying
government land and public buildings5. Displaced
families continue to endure sub-standard living
conditions with little to no access to basic services6.
IDPs in Baghdad following 2006 crisis (IOM; UNHCR)
228,000
Refugee and IDP
returnee individuals
366,000
IDP individuals
leaving
Baghdad
66,000
IDP individuals
move to Baghdad
50,000
families moving
within Baghdad
At least 126,000
refugee individuals
leaving Baghdad for
other countries
7 Million
Total Baghdad
population
USIP, 2009
In 2014 over two million Iraqis were displaced in a nationwide crisis, recreating and in many cases exacerbating the issues IDPs in Baghdad
faced during earlier displacements. The programme analysis which forms the basis for this case study was conducted prior to the present crisis,
dealing only with the 2010 to 2013 period.
3
UNHCR, 2012
4
ibid
5
ibid
6
NRC Assessment report
1
2
4 BETTER GOVERNANCE APPROACH FOR IDPS IN BAGHDAD
On top of the practical problems of providing basic
services to Iraqi IDPs, there is a highly politicised
debate regarding the scope and definition of
‘internally displaced person’. A major restriction is the
recognised time period (between January 1, 2006,
and January 1, 2008) during which displacement had
to take place in order to be officially registered as a
refugee or IDP. As a result, a large number of IDPs are
not officially recognised, and as such are not able to
access assistance. Furthermore, even those who are
recognised as IDPs struggle to access assistance due
to a complex set of registration requirements.
NRC’s analysis of the context showed that the
majority of IDPs are not willing or able to return to their
places of origin. However, the Government of Iraq’s
2011 Comprehensive Plan to End Displacement is
predominantly focused on the return of the displaced
population to their places of origin. Within Baghdad,
the Iraqi Government has indicated very limited
acceptance of integration into current communities of
Young boy in front of home in informal settlement. NRC
residence as an alternative durable solution. IDPs are in
a particularly vulnerable situation as multiple legal and
administrative barriers limit their access to services,
rights and entitlements such as education, healthcare
and food rations – challenges which are also shared by
many other marginalized groups in the city.
NRC IN IRAQ
NRC started programme activities in Iraq in 2010. This
was in line with its mandate to provide assistance and
protection to IDPs and facilitate durable solutions to
forced displacement.
NRC and UN-HABITAT formed a partnership in 2011.
This partnership allowed for a more comprehensive
programme, as the two organisations took on
complementary responsibilities with UN-HABITAT
working at the policy and national government level
while NRC focused on the community and local
government levels.
BETTER GOVERNANCE APPROACH FOR IDPS IN BAGHDAD 5
From January 2011 to December 2013 NRC carried
out capacity building for IDP representatives and
district and provincial authorities, and established
a coordination mechanism chaired by the district
councils that brought together local authorities and
informal settlement representatives on a monthly basis
to discuss problems and find solutions. In this way
the project supported IDPs’ access to administrative
and political decision makers while also increasing the
government’s understanding of the IDPs situation and,
often correspondingly, their willingness to assist.
In parallel, NRC worked directly on in-situ upgrading
of shelter and WASH options for families particularly
vulnerable to existing political and legal barriers
preventing delivery of services to all settlements through
local authority provision. In partnership with UNHABITAT, from November 2011 to December 2013 NRC
implemented pilot projects in three informal settlements
focusing on land sharing, relocation and in-situ
upgrading. Based on these pilot projects, engagement
with government authorities at a higher level promoted
acceptance and support for a range of alternative
durable solutions for IDPs who are unable to return to
their places of origin. Communication and advocacy
capacities were strengthened in order to support this
work, from September 2012 through 2014.
PROGRAMMATIC CHALLENGES
The difficult political and security climate in Baghdad
created significant challenges for programme design
which required both strategy and flexibility. Major
challenges were:
•Lack of accurate information about IDPs
•Volatile security situation and ongoing sectarian
disputes, including between government actors
•Need for significant government role, especially
regarding infrastructure in informal settlements, but
little interest from government actors in alternative
solutions
•Weak (or non-existent) communication between
government and IDP representatives to address the
above-mentioned issues
ASSESSMENT
Needs assessments and context analyses carried out
by UN bodies and international humanitarian agencies
showed that the IDPs living in informal settlements
were housed in sub-standard accommodation and
lacked many basic amenities. Providing them with
humanitarian assistance fell under NRC’s humanitarian
mandate. In addition, NRC had a close relationship
with UNHCR who had funding for IDPs in informal
settlements and who were able to provide information
on recognised informal settlements.
Considerations such as the strength of existing
relationships in the community and general support
in the community were carefully considered when
selecting the neighbourhoods for pilot projects in order
to increase the chances of successful implementation.
NRC balanced their mandate to focus on the most
vulnerable with a recognition that by piloting in
communities that were safer or easier they could
create a positive precedent which, over the term of the
programme, would allow more effective work in the
more dangerous or difficult communities.
PROBLEM ANALYSIS
A problem analysis workshop was carried out between
NRC international and national staff. Problem trees
and context analysis tools were used to identify the
root causes of poor living conditions in the informal
settlements.
Initial capacity building activities in the camps and
engagement with local authorities revealed that
IDPs had limited access to services available to
other residents, such as food subsidies, healthcare
and education, and were also more likely to live in
substandard housing. However, despite increased
willingness from local authorities to engage with IDPs,
progress on these issues was often ad hoc and on a
case-by-case basis.
The analysis revealed:
• The key governance structures that existed and their
decision making power
• The lack of official status and the negative perception
of IDPs by government bodies created a lack of
political will to address the problem
• Ongoing sectarian divisions and the associated
population movements impacted the demographics of
informal settlements around the city
• Legal barriers which prevented the provision of
permanent infrastructure to informal settlements
6 BETTER GOVERNANCE APPROACH FOR IDPS IN BAGHDAD
Prime Ministers Office
POWER
Power/Interest diagram representing NRC political context analysis in Baghdad. Power of actors
increases from bottom to top, and interest in the IDP issue increases from left to right.
Council of
Ministers
BPC
Ministries in
Housing &
Construction
MoMD
Donors
INTEREST
Municipality
DC & LCs
UN & IOs
Service providers
INGIOs
Local contractors
PSOs
Host
communities
Coalition forces
Informal
settlement
residents
Goal: durable shelter solutions for IDPs
This highlighted that without support from higher levels
of government, the limited power and resources of local
councils would not be sufficient for living conditions to
be substantially improved. However, at those higher
levels disagreements between different ministries and
with the municipality of Baghdad (representing sectarian
conflicts between their patron political parties) over
certain areas of the city made it extremely difficult to
establish the security of tenure needed to engage in
physical neighborhood improvements.
The analysis showed that more advocacy was needed
to raise awareness of the conditions that IDPs were
living in and encourage engagement with possible
solutions at the provincial and national level. NRC
negotiated an agreement with UNHCR to include
a specific awareness-raising component aimed at
building relationships with interested stakeholders in
the Provincial Council and National Ministries.
Programme activities
The overall aim of the Baghdad programme was to
improve the living conditions of IDPs. Rather than
providing most services directly, NRC focused on
the government as primary duty bearer to protect
and provide for its citizens, and saw their own role as
enabling the IDP population to access their rights.
By using multiple entry points for interventions, NRC
and UN-HABITAT were able to address the question of
durable housing solutions across multiple scales:
• geographic: 3 pilots at neighbourhood scale around
upgrading, land sharing and relocation
• systemic: advocating and coordinating with service
providers
• institutional: direct provision to individual households;
advocacy and linking authorities with communities
in district councils; advocacy and training activities
at provincial council; capacity building and policy
development activities in national ministries.
BETTER GOVERNANCE APPROACH FOR IDPS IN BAGHDAD 7
NRC initiated relationships with the informal settlements
through:
• Capitalising on UNHCR’s knowledge and relationships
with communities
• NRC used UNHCR’s list of identified IDP settlements
and contacted them through the Returnee Integration
Community Centre (RICC) teams.
• The utilisation of district and provincial councils to
identify local representatives who became focal points
for NRC activities.
Entry point 1: rights and empowerment
NRC started building capacity in the informal
settlements by increasing IDPs’ knowledge of their
rights and entitlements, and through this their ability to
advocate to and influence decision makers:
• NFI distributions to improve the worst circumstances,
and for settlement representatives to develop local
organisational capacity
Entry point 2: relationship building
NRC started to build relationships between informal
settlements and local authorities by:
• Providing training on local authorities’ obligations
under international humanitarian law
• Sharing information on conditions in the settlements
as well as IDPs’ histories of displacement
• Encouraging both sides to make physical
improvements by discussing mutual benefits
Entry point 3: formal solutions
NRC brought settlement representatives and local
authorities together by:
• Training for settlement representatives on how to
gather information on their settlements
• Establishing a forum where IDPs from the informal
settlements could advocate directly to local authorities
• Awareness-raising sessions and information
campaigns for IDPs on their rights
• Bringing in service providers in order to identify
potential solutions
Playing in the street. NRC
8 BETTER GOVERNANCE APPROACH FOR IDPS IN BAGHDAD
NRC used a variety of methods to build capacity in the
informal settlements. These included:
• training on how to establish and run committees
• practical coaching sessions on how to advocate for
their rights
• awareness raising through distribution of posters and
leaflets on the rights of IDPs
Committees and community members played a
significant role in NFI distribution, helping organise
these efforts within their neighborhoods. In this way
NRC was able to build trust and grow community
capacity simultaneously.
and Women’s committees, as well as through a
wider communication campaign. Trainings were
adapted from the global CCCM Toolkit, which NRC
has considerable experience in developing and
implementing. These were adapted to the Baghdad
context, using local examples from one particular
community in the training of others.
SCALING UP
In Baghdad the scaling up process included:
• Quantitative scaling up through increasing the
number of communities worked in and the District
The Community Mobilisation and Service Coordination Council Coordination Meetings (DCCMs)
(CMSC) programme established a general committee • Functional scaling up through adapting the
and a women’s committee in each settlement. Three
programme over time to take on a stronger
Settlement Representatives (SR) were identified for
advocacy and community mobilisation role
each informal settlement – a chairman, a deputy and
• Political scaling up through expanding the focus
a women’s committee chair – taking into account
on development of policy and procedures
existing leadership structures where necessary
and supplementing them to ensure legitimacy.
• Organisational scaling up by improving systems
Awareness raising of rights and duties was then
and capacity building of staff through pilots and
conducted through training for both Settlement
building relationships within the government.
Girl in informal settlement shows off her report card. NRC
BETTER GOVERNANCE APPROACH FOR IDPS IN BAGHDAD 9
Outside a shop in an informal settlement. NRC
With regard to the set-up of the DCCMs, initially some
councils were more receptive than others to engaging in
these activities. NRC started by working in settlements
where the relationship with the surrounding community
and local authorities was less contentious. As progress
was made and changes could be seen in neighbouring
areas, more reluctant councils began to show increased
willingness to participate. Over time this meant that the
programme was scaled up from one initial district to five
of the nine districts in Baghdad, as security allowed.
The DCCMs then created a forum where the different
stakeholders could come together, which was
successful in facilitating dialogue and improving
access to services for some settlements. NRC’s
activities to build the knowledge and capacity of the
settlement representatives enabled the representatives
to engage effectively and advocate for their needs with
local authorities and service providers. Through the
combination of explanation, dialogue and exposure,
it was noted that people in informal settlements were
beginning to be described as “informal settlers” rather
than “criminals” - a significant change in perception.
Although this scaling up process was largely
successful, more ambitious elements of the
programme as it was initially conceived -- including
significant physical neighborhood improvements and
broad livelihoods support – were drawn up but never
implemented because of political constraints.
ADVOCACY AROUND PILOT PROJECTS
Based on their previous experience, UN-HABITAT
targeted technical level staff within the government
who were seen to be under less political pressure but
were still involved in significant decisions. A year-long
enhancement programme undertaken by UN-HABITAT
involved training and workshops which aimed to
cultivate trust with staff from various ministries and the
Baghdad Governorate.
Within NRC’s Durable Solutions programme,
precedents were also set in order to build support
for alternatives to relocation for residents of informal
settlements. The pilots aimed to show that alternative
ways of providing durable solutions were possible in
this context by including in situ upgrading and land
sharing as well as relocation. They also demonstrated
the role that the inhabitants could play as active
participants in the future of their community. The use
of pilot projects supported discussions around specific
programme issues and general policy. The process of
enumeration and identification of possible options for
each individual settlement, as well as how they could
be approached at a city-wide scale, created concrete
examples that could be discussed in meetings with
the relevant District Councils. The pilot projects were
also used to build practical skills, develop institutional
capacity and foster political will to increase the
likelihood of these alternative solutions being adopted.
10 BETTER GOVERNANCE APPROACH FOR IDPS IN BAGHDAD
LESSONS LEARNED
1. Building trust and ongoing dialogue with both
government and communities were the major
challenges of the programme. Government officials
were slow to get involved and it was difficult to
sustain their involvement. Communities were wary
of engagement and rarely unified in structure.
Building trust and dialogue took a great deal of
time, resources, and strategy. A few key highlighted
lessons:
•Formal titles may not accurately represent the roles
that different government officials play
•Capacity building of government went beyond skills
development to build trust between different Ministries
and other stakeholders; trust which had been eroded
by three decades of conflict and ongoing sectarian
issues. Allowing enough time for these relationships to
be (re)built was incredibly important.
•Simple relationship building efforts can make a
difference; for example, office visits or phone calls
instead of emails
•A lot of effort was required to keep IDPs in focus at
the higher levels of government. Doing this publicly,
as at a December 2012 conference, created political
commitment to be used later as an advocacy tool.
•‘Quick wins’ were very important. These required
a good understanding of the constraints around
different actors, as well as programmatic flexibility
to meet needs as they were identified. This could
be as simple as changing meeting locations so that
participants did not have to travel as far.
•Interaction with informal settlement and IDP
communities improved attitudes and perceptions
of local authorities and increased their willingness
to find practical solutions, despite legal barriers.
Many government employees were initially against
participatory approaches, stating that it was the role
of the state to provide and that it was up to them as
decision makers to decide, not the community. Their
positions often softened over time, particularly with
positive interactions with community members.
•Communities had grown accustomed to direct service
provision from humanitarian agencies, so a shift in
relationship towards capacity building and advocacy
required time. NRC addressed this by focusing
initially on the most accepting communities, using an
inclusive approach where IDPs and other residents
were treated similarly, and employing visible activities
to maintain momentum.
2. Government is not a homogenous group
and its heterogeneity runs along multiple axes.
Issues to highlight:
•Informal working relationships between government
officials can create both opportunities and
challenges for programme operations
•Government officials may be constrained by
political or sectarian issues unrelated to programme
operations, even within technocratic agencies
Existing relationships were key in navigating these
dynamics. UN-HABITAT was able to draw on its
existing strong reputation which resulted from
having undertaken large infrastructure projects
between 1997 and 2003. NRC placed a high
value on previous knowledge, experience and
connections within the Baghdad context in the
recruitment of its national staff as well.
3. Dealing with changes in government and staff
turnover required prior strategy. The Durable
Solutions programme faced challenges due to a
change in the Governor of Baghdad and the need
to reinitiate discussions with the new Governor
as his backing was required in order to move
forward with adoption of in-situ upgrading or
land sharing projects. NRC presented him with a
robust argument, and UN-HABITAT built on this by
requesting a point person in his office who would
work with them on each step.
Despite international staff turnover within NRC, the
smooth running of the programme was facilitated
by dedicated and consistent national staff that were
able to establish and consolidate relationships with
key stakeholders.
4. Geographic focus instead of programmatic silos
“NRC’s approach in Baghdad was to be a ‘onedepartment’ office, with no ‘silo-ing’ of programmes
into separate sectors... this sort of holistic approach
appears to be emerging from other ‘neighbourhood’
approaches7.”
This approach was very valuable for NRC, building
trust between staff and local actors and allowing the
pilot projects and advocacy work to benefit from a
comprehensive focus across specialist disciplines.
BETTER GOVERNANCE APPROACH FOR IDPS IN BAGHDAD 11
DONORS
ACRONYMS
DFID
Department for International Development
BPC
Baghdad Provisional Council
UN HABITAT
United Nations Human Settlements Programme
PRM
Bureau of Population, Refugees and Migration
(US Department of State)
UNHCR
United Nations High Commissioner for
Refugees
Sida
Swedish International Development
Cooperation Agency
CCCM
Camp Coordination and Camp Management
CMSC
Community Mobilisation and Service
Coordination
DC
District Council
DCCM
District Council Coordination Meeting
DFID
Department for International Development (UK)
IOM
International Organisation on Migration
REFERENCES
INGO
International Non-Governmental Organisation
Government of Iraq, Comprehensive Plan to
End Displacement, 2011
IO
International Organisation
NRC Assessment report, “Lessons from
Baghdad”, 2014
UNHCR, 2012 Iraq IDP Settlements Breakdown
http://www.iauiraq.org/reports/UNHCR/IDPsettlements-Charts-June-2010.pdf
USIP, 2009, Land, Property, and the Challenge
of Return for Iraq’s Displaced. http://www.usip.
org/sites/default/files/SR221.
LC:
Local council
MoMD
Ministry of Migration and Displacement
NFI
Non-food item
NRC
Norwegian Refugee Council
PRM
Bureau of Population, Refugees and Migration
(US Department of State)
PSO
Peace support operation
RICC
Returnee Integration Community Centre
Sida
Swedish International Development
Cooperation Agency
UN
United Nations
UNHC
United Nations High Commissioner for
Refugees
WASH
Water, Sanitation, and Hygiene
Quote from NRC staff interview
7
NRC’S MISSION STATEMENT
NRC works to protect the rights of displaced and vulnerable persons during crisis. Through our programmes
we provide assistance to meet immediate humanitarian needs, prevent further displacement and contribute
to durable solutions. Through our advocacy we strive for rights to be upheld and for lasting solutions to be
achieved. Through our stand-by rosters we provide expertise as a strategic partner to the UN, as well as to
national and international actors.
We take action during situations of armed conflict, and engage in other contexts where our competencies
will add value. We are a rights based organisation and are committed to the principles of humanity, neutrality,
independence, and impartiality.
NRC’S FOCUS ON URBAN DISPLACEMENT
These case studies form part of a series on NRC programmes focusing on displacement in urban areas. In
2013 NRC began a sustained effort to become one of the leading agencies for urban displacement through
our six core competencies: information, counselling and legal assistance (ICLA), shelter; education; food
security; water, sanitation and hygiene (WaSH) and camp management.
By sharing these case studies NRC aims to illustrate a variety of models of good practice, learning and
innovation by its country programmes, as well as highlight some of the important challenges they continue
to face in providing assistance to displaced persons in urban areas.
In order to address the layered challenges of urban displacement, NRC has strengthened its capacity by
developing a multi-sectoral assessment app and initiating thematic partnerships with JIPS, UNHCR, and
IRC focusing on needs assessment, profiling, targeting, shared learning and advocacy. Moving forward
NRC is actively focusing on programme learning through evaluations, action learning and assessments of
existing programmes.
The majority of over 5000 NRC staff members are national employees in NRC’s projects in around 25
countries worldwide. All our projects are supervised by the NRC Head Office in Oslo.
NRC was established in 1946 under the name Aid to Europe, to assist refugees in Europe after World War II.
Today NRC is organised as an independent, private foundation. We cooperate closely with the UN and other
humanitarian organisations, around the world as well as in Norway.