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Facilitator’s Guide–DRAFT

WASH Enabling Environment:

Face-to-Face Training Workshop

June 2016

Facilitator’s Guide

Face-to-Face Training Workshop

WASH Enabling Environment

June 2016

DRAFT

ContentsIntroduction4Facilitator’s Guide4Suggested Agenda5Training Preparation7Session 1: Opening, Introduction to Workshop and Participants7Session 2: WASH EE Framework, Theory of Change, and Tools9Session 4: Policy and Strategy10Session 4: Sector Coordination13Session 5: Service Delivery Arrangement15Session 6 and 7: Accountability and Regulation18Session facilitated by SIWI. They will use their own slides and process.18Session 8: Budgeting and Financing18Session 9: Sector Planning22Session 10: Monitoring, Evaluation, and Learning24Session 11: Capacity Development27Session 12: General Q&A32Session 13: Post Training Commitments, Evaluations and Next Steps32

How to Promote an Enabling Environment for Water, Sanitation, and Hygiene

Introduction

This Facilitator’s Guide provides UNICEF Water, Sanitation, and Hygiene (WASH) officers in charge of training activities with an overall idea of how to motivate training participants to engage in strengthening a WASH enabling environment (EE) in the regions where they work; essentially the guide is used to facilitate a WASH Enabling Environment 101 course.

The sessions cover a wide range of key functions that need to be addressed to create an enabling environment for WASH. The sessions engage participants in participatory learning, including discussion of case studies, which will allow the participants to feel more confident in learning the basic skills required to promote an EE for WASH programming. Throughout the sessions, participants will be provided with handouts, which include tools and resources that may be used for further consultation.

Facilitator’s Guide

Teaching these skills requires the same techniques as teaching other types of skills, whether statistical, clinical, or laboratory. Participants need a brief background, but mostly they need practice. The lessons in this guide set up situations whereby participants can learn from technical experts as well as actively demonstrate that they have learned to put that information to practice (e.g., create a strategy or engage in discussions with governments to improve their WASH monitoring system). The sessions use a question-and-answer approach to allow participants to bring to the table their own experiences, share them with other participants, and allow a collective reflection on the issues addressed. The notes in the slides provide additional information that the facilitator may use to: 1) complement experiences and examples brought forward by participants through participatory activities and/or 2) provide a more in-depth analysis of the topic under discussion.

As an instructor, you must encourage them to hone skills acquired or strengthened in the course of the session before they need to use them in their work. Keep the activities and discussions energized and dynamic. Students who wish to have more in-depth information or theory may be directed to the resources at the end of each lesson plan.

A trainer’s note at the top of each activity states the purpose for the activity. This is especially important if trainers adapt the trainings to the needs of the participants; adaptations can keep the original intent of the activity.

Each session will be led by a facilitator, supported by UNICEF expert staff.

The guide has a section per session. Each session includes the major points that need to be conveyed per slide as well as questions to which presenters need to respond to generate participation and discussion.

Suggested Agenda

The following is a suggested agenda for the training that will take place [add location and time]. The training will span [add duration] days, with the first day covering [introduce topics]. Days [add days] will cover [add topics]. The function areas are listed below. They are organized according to Sanitation and Water for All (SWA) Building Blocks.

1. Sector Policy and Strategy

2. Institutional Arrangements

a. Sector Coordination

b. Sector Delivery Arrangement

c. Regulation and Accountability

3. Sector Financing

a. Budgeting and Financing

4. Planning, Monitoring, and Review

a. Planning

b. Monitoring, Evaluation, and Learning

5. Capacity Development

Each training day will begin with a recap of the previous day. The final day of the training will cover any remaining questions or issues, commitments, and next steps.

3

WASH Enabling Environment Training Workshop Illustrative Agenda

Insert Final Agenda Here

Day 1

Day 2

Day 3

8:00-9:00 Registration –

8:30-9:00 Recap of Day 1

8:30-9:00 Recap of Day 2

9:00-10:00

Session 1: Opening, Introduction to Workshop, Expectations

Session 7: Final Section of Accountability and Regulation

Session 13: Post-Training Commitments, Evaluation and Next Steps

10:00 - 10:15

Coffee/Tea

Coffee/Tea

Coffee/Tea

10:15-11:30

Session 2: WASH EE Framework, Theory of Change, and Tools

Session 8: Budgeting and Financing

Session 14: Concluding Remarks

11:130-12:30

Session 3: Sector Policy and Strategy

Session 9: Planning

12:30 -1:30

Lunch

Lunch

Lunch

1:30 - 2:30

Session 4: Sector Coordination

Session 10: Monitoring

2:30 – 3:30

Session 5: Service Delivery Arrangement

Session 11: Capacity Development

3:00 - 3:15

Coffee/Tea

Coffee/Tea

Coffee/Tea

3:45-5:00

Session 6: First Section of Accountability and Regulation

Session 12: General Q and A Session

Training Preparation

Read through the entire manual before holding the training session(s). All of the lessons require preparation and planning.

At least one week prior to the training:

· Send out background materials (e.g., resources to review, agenda, and logistical information) via email and hard copy, as necessary.

· Send the knowledge assessment/quiz and ask for its return before the training date.

In a communication before the training, the participants will be encouraged to think about examples from their personal and work experiences in advance and share them with other participants at the training during relevant sessions. Encourage them to bring resources and tools that they have found to be useful. Suggest that participants ponder and assess the EE in their own country, and review pre-training materials and agenda to facilitate discussion during the training.

Suggested checklist of materials needed

· Overhead projector and computer/laptop for presentations

· Screen/appropriate wall to project slides

· Flipchart for discussions, markers, large post-its of different colors

Session 1: Opening, Introduction to Workshop and Participants

Provide the outline of the session.

Welcome the participants to the workshop and have them introduce themselves and their backgrounds.

Provide background on the rationale for this training.

This training is intended for UNICEF WASH Chiefs and WASH focal points who are responsible for strengthening the WASH enabling environment.

UNICEF is increasing support to country offices (COs) through Regional Offices (ROs) to ensure continued operationalization of the 2014–2017 Strategic Plan (SP). The 2015–2017 SP, UNICEF WASH Strategies for 2006–2015, the WASH Theory of Change, and the forthcoming Global WASH Strategy all identify a strong enabling environment as a precondition for universal and sustainable access to WASH. This premise requires UNICEF to work with governments and sector partners to ensure that favorable elements, such as improved quality assurance mechanisms and a coherent approach to the use of tools, are in place to facilitate sustainability and scalability of WASH service delivery.

Explain that the next [x] days will provide them with information, skills, and tools to support national governments to strengthen the enabling environment for WASH service delivery in their regions.

Review the objectives of the workshop:

1. Have participants recognize the importance of all EE function areas as they become systematically exposed to multiple examples showing their effect on creating a sustainable and effective government-led WASH sector delivering services to fulfill the human rights to water and sanitation.

2. Provide knowledge and skills that allow participants to identify steps they may take to support governments to strengthen the enabling environment functions in the countries where they work.

Inform the participants that they will be given a copy of the training materials and reference documents on a flash drive, in addition to their participant manual. Participants will be able to download and adapt the materials, as needed, from the knowledge-sharing platform, which will also house additional resource materials.

Mention that there is a WASH EE channel on the Agora platform that can be consulted. This channel will include the WASH EE Guidance Note, the Face-to-Face Learning Modules used in this workshop, an e-Learning course that cover the same topics for individuals who want to have self-paced learning, a library of tools and resources for those interested in further information on the topics discussed here, and a Yammer Group (WASH EE Community of Practice).

Discuss the agenda of the workshop.

Explain to participants the ground rules that will guide the implementation of the workshop and the group work that will be undertaken in different sessions.

Ask the participants to share their experience with promoting an EE for WASH, whether they have taken trainings, used assessment tools, and so forth.

Session 2: WASH EE Framework, Theory of Change, and Tools

The purpose of this session is to present the UNICEF-developed WASH EE Framework and Theory of Change for strengthening EE WASH governance functions, and to introduce participants to the available tools to support the WASH EE functions to be discussed.

Slide 4

Lead a discussion with the group about what factors are essential for countries to reach the WASH Sustainable Development Goal (SDG) 6.

Discuss the limitations of a project approach, for example, the difficulty of achieving WASH SDG 6 piecemeal.

Ask participants what the challenges to program success might include:

· Lack of leadership or political support

· Inadequate regulations

· Lack of dedicated or sustained resources

· Lack of monitoring and evaluation

· Insufficient human resources

Slide 6

Ask participants to brainstorm a definition of enabling environment. Probe the meaning of “enabling” and “environment” as well as the complete term “enabling environment.” Show the definition later, after participants provide input.

Slide 10

Review the importance of the nine WASH EE governance functions. Please note that this slide requires having a handout ready for distribution prior to the session. There is considerable information on the slide and it may not be fully readable on a small screen.

Slide 11

Organize a group discussion providing the following example of what WASH EE actions focused on in Ethiopia.

· Government strengthened the EE for rural sanitation by

· Developing a new policy

· Creating programmatic approaches for rural sanitation

· Developing a sector-wide approach with unified indicators and monitoring systems

· Better targeting and increasing external financing for rural sanitation

As a result,

· Open Defecation (OD) declined from 84% to 34%.

· Inequality in access to sanitation between the top quintile and the bottom quintile declined.

To facilitate discussion, ask the following questions:

· What functions did Ethiopia have in place here?

· What do you think was in place that is not specifically listed here?

Slide 12

Hard to read given the amount of information it contains. Make sure you have a print out to distribute to participants do present and discuss.

Slide 13

Present the support process and connect it to the existing UNICEF program cycle processes.

At the end of the presentation, lead a discussion using the following questions:

· What are the implications for you as individuals to work on the EE?

· What kind of skills will one need to work on this?

· What kind of support will you need to move away from business as usual and help the government do the same?

Slide 14

Questions on this slide will help lead a group discussion. Use the flipchart to write answers. Integrate major points written on the flipchart sheet.

Slide 15

Organize the participants into groups of two people, reading the handout Description of Tools and answering three questions on tools:

· What is the purpose of the tool(s)?

· How have you used it or would use it?

· What are the challenges to using it?

Session 4: Policy and Strategy

Slides 1–6

This is the Policy and Strategy session of the WASH Enabling Environment Training Workshop. Slides 1–6 provide the learning objectives, the purpose of the function, and how it is inserted in the WASH EE Framework and Theory of Change. The WASH Framework and Theory of Change slides appear in the function as it may a module that can be offered on its own and separate from the rest. If offered as part of an integrated package with all the rest of the WASH EE function, Slides 5 and 6 of this module may then be hidden and not used.

Slide 8

Slide 8 lists questions to be used to engage participants in a group exercise. Have participants count off by 3s so you get three table groups. Have each table group elect a notetaker and a rapporteur. Allow 10 minutes for the group to discuss the questions. Allow each group 3 minutes to share some key elements from their discussion. Once the groups are organized, have each one pick one country and discuss the following questions:

· How has UNICEF influenced WASH policy and strategy in this country?

· What elements were used?

· What worked and why?

· What could have been done better/differently?

· How has this experience compared with other experiences in the group?

Slide 9

The WASH Enabling Environment support process for UNICEF, government, and development partners to systematically work on strengthening the EE. This includes:

1. Reach consensus/agreement.

2. Assess the situation.

3. Facilitate government-led planning and develop a government-led work plan with development partners to strengthen the WASH EE.

4. Facilitate the development of a multi-donor+government investment plan.

5. Based on the government work plan for strengthening the EE, develop a UNICEF work plan to support government EE efforts.

6. Support government efforts to monitor progress in strengthening the EE and facilitate iterative improvements.

Slide 10: Support Process Step 1: Agree

Initiate a discussion with participants, asking them these questions:

· Who are the stakeholders and what is required to enact a WASH policy in a country?

· How is a privatized water supply different from that of the public sector?

· How is a big country different from a small country?

Write these questions on a flipchart and ensure that participants have discussed them:

· issues such as coverage, affordability, quality of services, customer service, accountability and regulation for the second question

· agreement that may be required when arriving at and implementing policy in the context of a large country such as Nigeria or India, which are decentralized

Regarding the latter bullet, please keep in mind that national policies can serve as a key stimulus for local action, especially in countries that are decentralized. But if the policy is not promulgated at the state and local levels, it has no teeth. In a decentralized country, how will you promulgate national policy at the state and local levels? Policy frameworks will only have impact if accompanied by political commitment and leadership. The policy framework provides the instruments (guidance, positive incentives, and penalties).

Slide 11: Support Process Step 2: Assess

Continuing with the same question-and-answer mode, ask participants to respond to the following questions:

· What do you need to assess when examining a water, sanitation, or hygiene policy?

· What levels of responsibilities are required of the different government actors in a decentralized environment?

Expected answers to these questions follow.

Question 1

· Clear and coherent regulation

· Clear definitions of functions & relationships of sector institutions

· Coordination

· Adequate funds

· Accountability

· Technical and financial capacity to manage water system

Question 2 (if the focus of the policy were water):

Federal government responsibilities

· Planning

· Regulation

· Donor coordination

· Allocating funds to states and local government authorities (LGAs)

· Research and training

States

· Develop state water policy and laws

· Establish a water corporation

· Fund recurring and capital expenses

LGAs

· Rural water supply

Slide 12: Support Process Step: Plan

Ask the participants, “What steps are needed to develop a policy?”

The chart in this slide will to complement the discussion that results from the previous question. Have participants interpret the meaning and significance of the figure in the context of planning policy and strategy.

Slides 13–15: Invest, Implement, and Monitor and Evaluate

Different questions are asked for each of the remaining steps of the program cycle for this function: Invest, Implement and Monitor and Evaluate. Participants will provide answers. Write those answers on a flipchart and make them part of the learning agenda for the function.

Slide 16: Group Reflection

Divide participants into three groups and ask them to answer the following question:

· Now that you have gone through the policy process, how should policymaking be reflected in the UNICEF program cycle in your country?

Possible answers are:

· Situation Analysis

· Country Strategy

· Country Program Document

Allow 10 minutes for group reflection and 5 minutes for sharing.

Ask one table to share and the other two tables to complement.

Slide 17: Examples of Policies Supported by UNICEF

Ask participants whether they know what UNICEF has done in the countries listed to support policy development. Use the descriptions in the notes for this slide to confirm or affirm the nature of these efforts, underscoring what the participants did not know.

Slide 18: Policy Scoring

Note the legend on this scoring chart. The colors show the extent to which progress is being made—red for weak, yellow for moderate, and green for good progress. The notes column identifies barriers to be overcome and specific tasks that need to be accomplished to improve performance on the indicator. These are examples of what UNICEF is tracking in the context of policy and strategy in the East Asia Pacific Regional Office (EAPRO) . Ask participants what is going on in their own country setting and what this means for any future work to strengthen WASH EE.

Ask participants: What are the key learnings from this exercise? Given your own situation, what learning was most useful? What will you do differently as a result? What remains to be done?


Slides 1–4: Introductory slides

This is the Sector Coordination session of the WASH Enabling Environment Training Workshop. Slides 1–4 focus on the function’s learning objectives, definition, outcome, indicators, and the difference between coordination of WASH EE for humanitarian assistance and for development. Following the approach used throughout the workshop, questions are asked about each of these aspects, and participants are expected to provide answers. The notes contain definitions UNICEF wants participants to retain and are offered in the WASH EE Guidance Note. It is important that participants leave the training having the same understanding about these terms and notions.

Slides 5–6: WASH EE Framework and Theory of Change

The WASH Framework and Theory of Change slides appear in the function as it may a module that can be offered on its own and separate from the rest. If it is offered as part of an integrated package with all the rest of the WASH EE function, Slides 5 and 6 may then be hidden and not used.

Ask participants: Which assumptions in particular will be important to keep in mind with regard to sector coordination? Can you think of instances where the assumptions may not hold true?

Slide 7: Examples of activities to support Sector Coordination

Examples of activities that may be undertaken to strengthen Sector Coordination.

Slide 8: Activities to support Sector Coordination provided by participants

Ask participants the following questions:

1. What other activities may promote sector coordination?

2. How will such efforts be different if:

· Sub-sectors are fragmented and some are stronger than others?

· There is a change in government, leaving previous coordination efforts in limbo?

Question 1

· Support processes taking evidence shown in sector reports to specific decisions/modifications of sector plans. External Support Agencies (ESAs) should commit to the long-term process to build national ownership, including supporting periodic review meetings.

· Provide initial technical support, especially for preparing the first sector reports. Finance in-depth studies (e.g., financial viability, sustainability of water services, etc.). Include the private sector in Country Status Overview (CSO)..

· Support governments to strengthen the humanitarian WASH coordination platform.

· Develop partnerships with media, parliamentarians, and social commentators to advance the impact of social thinking and social norms.

· Develop collaboration and agreements with the private sector for tracking.

Question 2

Rely on the Mongolia Example on Coordination, briefly addressed below:

Context

· Sanitation is under the Ministry of Construction.

· Water falls under the Ministry of Environment.

· Hygiene is the role of the Ministry of Health (MOH).

· Existence of a National Committee on Water and Sanitation

· Separate committee on water supply is very strong.

· Separate committee on sanitation is much weaker.

· National water committee falls under the prime minister’s office. Have good laws and monitoring systems.

· When committees are combined, the water supply partners are much stronger and more dominant.

· Want to engage Ministry of Health on sanitation and hygiene.

· Now have a Law on Hygiene rather than on sanitation because MOH is responsible for hygiene.

· Coordination is difficult in practice, because whenever there is a new government, everything starts over because all the people change and have to be re-educated.

Slide 9: Coordination under different scenarios

· Discuss how coordination would be different for increasing WASH EE coverage & improve WASH services different in a humanitarian context from a development context?

· Would coordination in that context be the same in rural/urban settings?

Slides 10–12: Humanitarian Assistance Context

These slides focus on humanitarian assistance, presenting determinants and drivers for coordination in this domain. The slides may be unreadable when projected on a screen given the amount of information in them. Make printouts of these slides prior to the session and distribute them as handouts.

Slides 13–19: Support Process Steps

Slides 13-19 take participants through the six steps of the UNICEF WASH EE Support process. Ask questions along the way about the different steps to stimulate discussion.

Slide 20: Scoring

Note the legend on this scoring chart. The colors show the extent to which progress is being made—red for weak, yellow for moderate, and green for good progress. The notes column identifies barriers to be overcome and specific tasks that need to be accomplished to improve performance on the indicator UNICEF uses to track Sector Coordination activities on the ground. These are examples of what UNICEF is tracking in the context of sector coordination in the EAPRO region. Ask participants what is going on in their own country setting and what this means for any future work to strengthen WASH EE.



Slides 1–8: Introductory slides

They address the session’s outline and learning objectives, the WASH EE Framework, and Theory of Change, the relationship between this function and SWA’s building blocks, the definition of the function and a definition of service delivery model. In previous workshops, this function generated considerable debate and its outline is a bit different than that of other functions to facilitate debate and permit learning through the comments participants may make about their own experiences.

Slide 9: Group Work

Organize the participants in three groups and ask them to perform the following exercises and answer the question:

1. List the expected outcomes of an effective service delivery arrangement.

2. List the principles required for sector delivery mechanisms.

3. What aspects of service delivery must be addressed?

Examples of the answers expected follow.

Activity/Question 1

Models for service provision are defined for different contexts and applied appropriately.

· Different models for service are documented, with clear roles and responsibilities of users, service providers, and government in each of them.

· Standards/benchmarking for affordable services in place.

· Conditions are conducive to applying models, including policy and regulatory framework, capacity development, financial provisions and performance-based incentives.

· Sector delivery models consider or include

· different options, including private sector participation

· provisions for targeting most vulnerable people

· mechanisms for accountability between users, governments, and service providers

Activity/Question 2

· Accessible

· Affordable to the consumer

· Equitable, to reach all populations, including the most vulnerable

· Sustainable over the long run

· Replicable, to be able to expand in the future

· Guarantee quality of all services provided

· Progressive

Question 3

Different aspects can be addressed depending on priorities in the country. Below are some examples from some Asian countries.

· Cambodia: Rural sanitation: discussions about pit emptying started

· Indonesia: Rural sanitation: concern with supply chains, as capacity is uneven

· Support (training and molds) local entrepreneurs to increase sanitation access

· Analysis and work needed to ensure micro-financing initiatives exist to reach the poorest

· Vietnam: Urban WASH: needs to be more developed

· Pilot demo models created for learning and developing PPP guidance

· Received technical assistance from UNICEF, DFAT, World Bank (WB) and Asian Development Bank (ADB)


These slides take participants through the different WASH EE support process steps.

Slide 11: Agree

Ask the following questions to generate discussion:

· Who needs to be involved in developing service delivery arrangements? In the answers, make sure that the following stakeholders are mentioned: different levels of government, private sector, training institutions, civil society, and consumers.

· When these stakeholders come together, what will they discuss? Ensure that answers address the importance of not only who would be involved in providing services, but also that targeting vulnerable populations, extending affordable services, and tracking accountability are covered.

Slide 12: Assess

Use the chart in the slide to discuss roles that central and decentralized government structures may play in service delivery. Further, ask what aspects regarding the private sector, communities, and households may need to be assessed to strengthen service delivery arrangements.

Slide 13: Assess

There should be a different service delivery model for each sub-sector. This slide focuses on the urban sanitation delivery model and stresses the importance of urban sanitation going from containment to reuse/disposal and illustrates appropriate and inappropriate solutions for some of the steps in the service delivery chain presented. Extend the discussion to rural sanitation and ask participants what should be assessed in the case of rural sanitation and the extent to which it would be different than what is assessed in the urban/peri-urban context.

Slide 14: Plan

Ask participants:

· What does a country have to do to plan for its sector service delivery models?

Have participants consider the need to set objectives, targets, and actions associated with them. Have them also consider the possibility of conducting pilots, if necessary, to make sure services are effective, equitable, affordable, reliable, and sustainable. A separate point is that service delivery arrangements may include the need to improve services for some that already have them and extend basic services to population segments that have none.

Slide 15: Invest

This slide focuses on the Taxes Tariff and Transfers (TTT) approach and you may have to discuss how those funding resources are used to improve the services of those already served and extent basic services to those not yet served. A breakdown by subsectors may be appropriate. In this slide, ask participants to discuss with those sitting at their table the following set of issues:

· Pick one country and identify what investments were made for service delivery models and what was included and excluded in that country.

· Can you identify different investment arrangements from the ones on the screen?

· How are they different?

· Could you determine whether what is described on the slide work in the country where you operate?

Slide 16: Implement

Have participants discuss at each table:

· What has UNICEF done in your country to assure that the activities are being carried out?

Issues addressed may include:

· ensuring that the funding is available

· that funding is being used

· that progress is being made according to plan

Slide 17: Monitor and Evaluate

Comprehensive reviews of service delivery models for each one subsector may be based on different criteria: coverage, equity, performance, compliance and sustainability. One may also include accountability. A spider like the one in the chart may be drawn and superimposed for each subsector to get a sense how they compare across each other on those criteria.

Slide 18: Scoring

The notes column identifies barriers to be overcome and specific tasks that need to be accomplished to improve performance on the indicator UNICEF uses to track Sector Delivery Arrangement activities on the ground. These are examples of what UNICEF is tracking in the context of service delivery arrangements in the EAPRO region. Ask participants what is going on in their own country setting and what this means for any future work so strengthen WASH EE.

Session 6 and 7: Accountability and RegulationSession facilitated by SIWI. They will use their own slides and process.


Slides 1–11: Introductory Slides

This is the Budgeting and Financing Session of the WASH Enabling Environment Training Workshop. Slides 1–11 provide the session’s outline, the learning objectives, definition, the WASH EE Framework and Theory of Change if the module is used alone, some guiding notions about Budgeting and Financing, and examples of activities that may be undertaken to support the planning process for strengthening WASH EE.


These slides take participants through the different WASH EE support process steps.

Slide 13: Agree

Questions to guide the discussion follow:

1. What stakeholders need to be engaged to decide how to strengthen the budgeting and financing function?

2. What do stakeholders need to agree on?

3. Do we need to explore (new) funding sources?

Answers to these questions are presented in the slides and may be introduced gradually as each question is addressed.

Slide 14: Assess


· What needs to be assessed?

· What tools need to be used to conduct the assessment?

In the following chart, one may find answers that may complement suggestions made by participants.

Topics to assess

Tool/resource to use in assessment

Existing bottlenecks/gaps

WASH Bottleneck Analysis Tool (BAT)

ESO costing toolkit (estimate costs of bottleneck removal)

Current expenditures/expenditure patterns

Public Expenditure Tracking Survey (PETS)

(In)efficient use of WASH resources

WASH sector aggregate budget analysis

(In)equitable use of WASH resources

Territorial expenditure analysis

Overall inadequacy of public investment in WASH

WASH sector aggregate budget analysis

Cost effectiveness

DFID Value for Money (VFM)

Slide 15: Plan

Questions to guide the discussion follow.

1. What kinds of costs need to be included?

2. What technological options need to be considered?

3. What infrastructure lifespan, software assumptions need to be adopted?

4. What is the time frame for budget preparation?

5. What equity concerns need to be addressed?

6. How is budget transparency for accountability purposes addressed?

Illustrative answers to these questions follow.

Question 1

Costs to be included:

· capital investment

· software costs

· operations and administrative costs

· operation and maintenance

Question 2

Technological options:

· for basic or safely managed water (low and high cost options)

· for basic or safely managed sanitation (low and high cost options)

· for handwashing (promotional costs)

Present Slide 16 to help generate answers for this question.

Question 3

Let participants suggest lifespan assumptions. Software assumptions should include costs of handwashing promotion and demand generation for sanitation products and services, including community-led total sanitation (CLTS). Present Slide 17 to support the debate.

Question 4

1, 3 or 5 years. Look at Slide 17 for inspiration.

Question 5

Regions or social/socio-economic groups of a given country that may not be covered that need to be served (properly). Participants may provide examples given their experience in the countries where they operate.

Question 6

To address lack of transparency around WASH spending:

· Create demand to place WASH budget information in public domain.

· Engage political counterparts (e.g., parliamentarians, budget committee reps) and technical counterparts (Ministry of Finance, Ministry of Planning, and line ministries) involved in the WASH sector.

· Carry out WASH budget analysis.

· Build alliance among civil society groups and the media.

· Initiate/support community-based WASH budget monitoring at local levels.

Slides 18–19: Invest

Slide 18 may be shown to spur debate on the topic. Questions that need to be answered regarding investment are:

1. What aspects should a financing strategy cover?

2. What elements should a financial planning process cover?

3. How do we turn finance into services for the future?

Answers to these questions follow.

Question 1: Financing strategy

Financing strategy must incorporate:

· 3Ts (taxes, tariffs, and transfers)

· Estimates for non-tariff household WASH expenditure

Financing strategy development relies on:

· Record of funding flows from 3Ts data

· Transparency and predictability of sector financing

· 3Ts data come from:

Financing agreements between development partners and governments

· Government budgets (national/state/local) showing both budgeted and actual funding flows, including from development partners

· Service providers’ financial statements

· Household consumption surveys that clearly separate expenditure on WASH

Question 2: Financial planning

Elements of financial planning process include:

· Facilitate sector-wide financial planning

· Include sector and non-sector actors

· Make financial planning recommendations

· Estimate financing needs

· Identify financing flows, gaps, goal, and targets

· Identify public and private sector financing mechanisms

· Explore innovative financing

· Select appropriate financing mechanisms

Question 3: What rationale should be guiding our investment strategy and turn finance into services for the future?

· Use long-term sector investment and development framework to foster government-led, sector-wide approaches (SWAp) to accelerate achievement of SDG goal and targets.

· Leverage private sector financing: develop capacities, transparency and regulatory framework for public–private partnerships.

· Increase private household contributions through incentives.

· Focus on poor-inclusive service delivery.

· Better analyze and target subsidies/incentives to poor communities and households to address inequalities.

· Address the existing investment bias toward urban areas to ensure that rural populations will receive a larger share of public resources.

· Continue improvements in measuring and tracking financial flows to WASH subsectors.

Slides 20-25: Implement

These slides provide examples of what needs to be implemented by sub-sector. The facilitator may opt to discuss each of these subsectors separately by a group, which will require dividing participants into four sub-groups each one dealing with one subsector. The task for each sub-group would consist be to look at the list provided for each subsector and determine what elements must be added or dropped, justifying their choices.

Slide 26–28: Monitor and Evaluate

These illustrate issues that may be monitored and evaluated within the function and tools to conduct the evaluation. A discussion about these issues and tools may be initiated by asking: What budgeting and financing issues need to be tracked, and what tools may be used to do so?

Slide 30: Scoring

The color identifies the status of indicators tracked by UNICEF regarding M&E. These are examples of what UNICEF is tracking in the context of budgeting and financing in the EAPRO region. Ask participants what is going on in their own country setting and what this means for any future work to strengthen the WASH EE Budgeting and Financing function.

Session 9: Sector Planning

Slide 1–5

This is the Sector Planning Session of the WASH Enabling Environment Training Workshop. Slides 1–5 provide the learning objectives, definition, the WASH EE Framework, and the Theory of Change if the module is used alone, and the examples of activities that may be undertaken to support the planning process for strengthening WASH EE. The following questions associated with Slide 4, help reflect on the purpose and importance of sector planning:

· What is the definition of planning?

· Why is planning necessary?

Slide 6: Group Work

Ask participants to form groups of four people. Make sure different people are together.

Ask participants to perform in the following actions/respond to the following questions:

1. What are the elements of UNICEF’s planning cycle?

2. Can you list what goes into a UNICEF sector WASH plan?

3. Can you list the key characteristics of the planning process?

As you think about the WASH EE planning process, list

4. Activities you would engage in to support government in its planning process

5. Expected outcomes

6. Indicators you would use to measure the outcomes

Answer to Question 1 can be viewed on Slide 7: Planning Cycle

Question 2

For UNICEF, sector planning should include:

· Prioritizing issues for UNICEF action

· Identifying the bottlenecks that UNICEF will address

· Establishing a plan

· Preparing a Results Framework Matrix

· Budgeting for Results

Question 3

· Must be systematic and inclusive to ensure the most effective route to achieve goals

· Include mid- and long-term sector performance review

· Incorporate multi-stakeholder and sector dialogue through platforms and mechanisms for dialogue and learning

· Bottom-up participation

Define accountability mechanisms

Question 4 – Activities

Note that these are illustrative activities.

· Support government-led efforts to conduct a WASH sector analysis to identify gaps and needs.

· Support a process to develop goals and targets.

· Support a sector planning process.

· Help to develop an effective communication campaign to inform all stakeholders about the planning process. Use clear and simple language.

Question 5 – Expected Outcomes

· National roadmap and investment for WASH is validated by stakeholders and is operational

· National WASH Sector Plan

· National WASH Sector Strategy

Question 6 – Indicators

Note that these are illustrative indicators drawn from the Guidance Note.

· National WASH program is owned by the government and endorsed by stakeholders.

· Strategic plan has clear targets, timeline, milestones.

· Proof of concept (options/solutions, approaches) included for scaling up with financing and human resource needs.

· Community leaders are engaged in planning process.

· Annual (or multi-year) work plans for rural and urban sanitation and water and hygiene are developed, reviewed, implemented, and evaluated based on the available budget.

· An annual JSR monitors rural and urban WASH service delivery performance and activities completed, with participation from stakeholders, to enable setting new targets and undertakings.

· National investment plan for rural and urban water and sanitation and hygiene is operational, realistic, pro-poor, and based on a needs-assessment. The plan considers a range of options and has been validated by range of stakeholders.

· Monitoring systems regularly measure service levels, use and functionality, reflecting international (WHO/UNICEF Joint Monitoring Programme) as well as national coverage definitions.

Slides 8–16: WASH EE Support Process

Slide 8 is a graphic representation of the process for supporting enabling environment functions. Repeat the steps once more: agree, assess, plan, invest, implement, and monitor and evaluate. We will go through these steps in the context of planning.

Slides 9–16 take participants through the six steps of the UNICEF WASH EE Support process. Ask questions along the way for the different steps to stimulate discussion.

Slide 17: Scoring

Note the legend on this scoring chart. The colors show the extent to which progress is being made—red for weak, yellow for moderate, and green for good progress. The notes column identifies barriers to be overcome and specific tasks that need to be accomplished to improve performance on the indicator UNICEF uses to track Sector Planning activities on the ground. These are examples of what UNICEF is tracking in the context of sector planning in the EAPRO region. Ask participants what is going on in their own country setting and what this means for any future work to strengthen WASH EE.


Session 10: Monitoring, Evaluation, and Learning


These slides cover the module’s outline, learning objectives, the WASH EE Framework, and Theory of Change if module is presented by itself, definition of the function, and the SDG Goals and Outputs pertaining to the WASH sector.


These slides cover the support process and rely in many instances on an example drawn from Ghana focusing on the M&E system set up by the government to track coverage.

Slide 12: Agree

Questions to guide the discussion are similar to those asked for this step in other functions:

1. Who needs to agree?

2. What do they need to agree about?

Answers from the Ghana example follow.

Question 1

Stakeholders in Ghana who agreed on tracking the WASH sector activities and accomplishments:

· Ghana National Environmental Sanitation Policy Coordinating Council members:

· Health Service/MOH

· Education Service

· Central Government

· Ministry of Environment and Science

· Environmental Protection Agency

· Council of Scientific and Industrial Research

· Local Government

· Metropolitan, Municipal, and District Assemblies (MMDA)

· Private sector

· Development partners

Question 2

· Research question(s) / issues to address:

· Coverage and equity

· Functionality

· Sustainability

· Cost-effectiveness

· Indicators

· Number of people gaining access to improved sanitation

· Percent of households with access to improved sanitation facility

· Methods

· User based data (household surveys using probability samples)

· Provider based data (Management Information Systems)

Slide 13: Assess

Questions to guide this topic follow.

1. What relevant monitoring, evaluation, and learning exercises exist?

2. When would you use them?

3. Would monitoring in the humanitarian context be the same as the development context?


Question 1

UNICEF Monitoring Tools

· WASH Bottleneck Analysis Tool (WASH-BAT)

· Country Status Overviews (CSOs)

· Monitoring Sanitation and Water for All (SWA) High Level Commitments

· Monitoring Regional Sanitation Conference (SAN) Commitments

· UN-Water Global Analysis and Assessment of Sanitation and Drinking Water (GLAAS)

· Regional Monitoring Mechanisms (AMCOW’s eThekwini Declaration)

· DFID’s Value for Money Tool

· UNICEF Monitoring Results for Equity System (MoRES)

· JMP SDG tracking

Question 2

Answers to this question are tied to the utility of the tools to fill different needs.

Question 3

The UNICEF MoRES tool in Humanitarian Action or Humanitarian Performance Monitoring (HPM) has been integrated into wider UNICEF systems. The monitoring and reporting frequency is based on the scale and urgency of the humanitarian intervention; country offices' preparedness for strengthening HPM has been integrated into the Early Warning Early Action platform. The preparedness rollout is based on the country's natural disaster/conflict risk category.

Slide 14: Assess

Ask participants to interpret the chart on this slide. If not addressed, ask them the following questions.

1. What differences in data may one encounter if data on coverage and service quality and reliability are provided by operators versus users?

2. To what extent does this chart indicate that information for both rural and urban areas is equally available, regardless of the system to generate the information?

What is important to understand from the chart is the difference between provider-based and household-based data to measure similar or equivalent indicators, especially in the case of coverage and service reliability, even though operators and users may have different perspectives about these two concerns.

A second important point is that existing information systems that governments rely on may have uneven information about the different subsectors. It would in the best interest of governments to have full information across subsectors for appropriate decision making.

Slide 15: Plan


· Should we strengthen user- or provider-based information, or both?

· What information is most important?

· Urban or rural settings?

· Water or sanitation?

· How do we address universality, equity concerns?

· What actions are needed to address effectiveness, cost-effectiveness, service quality?

· How much attention goes into tracking preparedness and actions for humanitarian assistance in a crisis?

There are no right or wrong answers for these questions since the responses are all contextual.

Slide 16: Invest

Engage participants in discussing the implementation of this step by asking:

· What do you need to consider for investing in monitoring, evaluation and learning systems?

Alternative answers include:

· What will be in the budget?

· Where will you seek financing?

Slide 17: Implement


1. What questions could UNICEF ask to determine whether the country is effectively monitoring its WASH efforts?

2. Do we evaluate UNICEF’s actions in support of WASH EE? If so, does the country or HQ undertake this?

In response to these questions, participants should address the following:

· With government and development partners, develop harmonized and agreed-upon indicators.

· Agree on an approach and/or tool to monitor the EE. If the UNICEF WASH-BAT tool was used to assess the EE, use it to monitor.

· Ensure transparency in measuring and reporting progress and results. Check/validate results to ensure process is credible and high quality.

· Use the information to offer remedial actions to enhance interventions as needed.

Slide 18: Scoring

The color identifies the status of indicators tracked by UNICEF regarding M&E. These are examples of what UNICEF is tracking in the context of M&E in the EAPRO region. Ask participants what is going on in their own country setting and what this means for any future work to strengthen the WASH EE M&E function.



They address the session’s outline and learning objectives, the WASH EE Framework, and Theory of Change, as this module may be used by itself, the relationship between this function and SWA’s building blocks, the definition of the function, and a definition of capacity development. Print out Slide 5 in advance and distribute it as a handout since it is too small to read on a screen.

Slide 7: Group Work

Have participants form three groups (make sure to mix up the groups so the same people are not together). Give participants the three-page handout on Liberia. Ask them to answer the questions on the screen (20 minutes). As a large group, have tables share by adding onto what has been said (10 minutes).

Slides 8–15: Support Process to Strengthen Capacity Development

These slides cover the different steps of the support process.

Slide 9: Agree

Questions to guide discussion follow.

1. To obtain consensus for developing a Capacity Development Plan, which stakeholders need to sit at the table?

2. What should the consensus exercise examine?

3. What procedures should be adopted to arrive at a consensus?


Question 1

· Stakeholders

· From outside the sector

· From inside the sector (urban, rural, water, sanitation)

· Government Stakeholders

· Ministries

· Agencies

· Commissions

· County and district authorities

· Civil society (CBOs, NGOs, faith-based, networks)

· Private sector

· Training institutions

· General public

· Media

· UN and other donors

Question 2

· How linked to larger development goals?

· How linked to goals in the WASH sector?

Question 3

Select tools and process

· WASH BAT

· World Bank Country Status Overview

· World Bank Sanitation Enabling Environment Assessment and Monitoring Tool

Determine whether consensus should be made public.

Slide 10: Assess


1. What information is available to understand current country capacity? Who will gather and analyze it?

2. What capacity is required to implement WASH within the country?

3. Where is this capacity located?

4. What key enabling factors exist that will help the WASH sector to develop?

5. Do capacity development bottlenecks/challenges exist that constrain the sector?

Answers to questions 2–5 follow.

Question 2

Institutional Capacities Required

· Coordination

· At all levels (from national to community)?

· Between public and private?

· Between institutions and other organizations?

· Procedures

· Are there operating procedures to implement the mandate?

· Are policies, legislation, and decrees followed? Acted upon?

· Management

· Are management systems in place?

· Are there adequate human resources?

· What are the training opportunities?

· How is capacity building monitored and evaluated?

Human Capacities Required

· Skills and experience

· Do workers have skills to perform their jobs?

· Have access to training opportunities?

· Knowledge

· Understand their role within the WASH sector?

· Have access to best practices?

· Opportunities to exchange/share within and across the sub-sector?

· Attitudes and Beliefs

· Feel valued in their role?

Question 3

This will differ depending on countries.

Question 4

Allow participants to propose answers.

Question 5

Below are institutional bottlenecks detected in the case of Liberia; included in the CD handout.

· Salaries are low salary payments are delayed, human resource systems and procedures are weak.

· Decentralization is still in process, with limited resources allocated to local authorities.

· Tertiary education and training institutions face difficulties recruiting and retaining qualified faculty and instructors.

· Environmental health is much undervalued as a profession, leading to limited priority for budget allocation and the difficulty to attract the best students on to its courses.

· The student pipeline for entry to tertiary education is constrained due to poor primary and secondary education, leading to inadequate skills in science and applied mathematics, learning, and analysis.

· No hydrogeological geophysical equipment exists in Liberia resulting in few or inadequate training and practice opportunities for hydrogeologists.

· Cities and towns outside of the capital Monrovia do not have water and sanitation or waste management systems. The commercial sustainability of the water and sanitation system within Monrovia is weak.

· WASH sector professionals in government local authorities, local civil society organizations, and small- and medium-size, and community-based enterprises do not have adequate access to computers and Internet.

· Liberia does not have a clear strategic approach to building a strong private sector capacity.

· Civil society organizations struggle to fund capacity development and retain staff, as most income is project based.

Slide 11: Plan


UNICEF has agreed to assist the government in designing a Capacity Development Plan.

1. What are the components needed as part of this plan?

2. Design a framework to identify what exists, what is needed, and how the needs can be met.

Answers that may be provided follow.

Question 1

· Set objectives and targets.

· Identify specific actions needed.

· Create a timeline.

Question 2

· List the skills/capacity needed in the WASH sector to achieve country targets.

· Identify gaps in existing skill/capacity.

· Institutional development

· Central, state/provincial, and local levels

· Public and private institutions

· Human development

· Immediate gaps

· Long-term needs, given factors such as attrition

· Illustrative ways to meet capacity development needs

· Training centers

· Preservice training

· Educational upgrades

· Training courses

· Ongoing mentoring and practice

· Scholarships and internships

Slide 12: Invest


· What costs are important to consider when thinking of supporting capacity development for WASH EE purposes?

· What sources of funding need to be tapped to support capacity development efforts for WASH EE purposes?

Funding sources had not been identified yet in the case of Liberia when the case study was constructed. Participants may think of their own countries and discuss how 3Ts may be used for capacity development purposes and bring examples from their own experience. Yet, Slide 13 provides an idea of the budget required to meet Liberia’s capacity development needs per their Strategic Capacity Development Plan.

Slide 14: Implement

Topics to guide the discussion follow.

1. Brainstorm a list of opportunities that UNICEF can suggest to the government to improve capacity and competencies of its staff.

2. Discuss strategies UNICEF has taken to assist countries to improve capacity for delivering WASH services.

3. Describe how to determine that capacity development needs have been met.

Discussion conclusions to different topics follow.

Topic 1

· Increase the number and competencies of staff through:

· educational upgrades

· developing sector-specific block training courses

· ongoing mentoring and practice

· Scholarships and internships

· Secondments

· Creating a practical training center

· Implementing action research via pilots

· Developing or strengthening processes and systems

· Preparing guidelines and strategies

Topic 2

· South–South transfer of skills (visits)

· Support the activities noted above in Question 1

Topic 3

· Objectives and scope

· Monitoring versus evaluation

· Attribution or contribution

· Track stakeholders involved

· Track targets and indicators

· Consult data sources

· Is the timeframe being followed?

· For what period of time?

· How often?

· What factors are facilitating capacity development?

Slide 15: Monitor and Evaluate.


· What indicators need to be retained to monitor and evaluate a capacity development strategy or plan?

· How often should the monitoring of the plan occur?

· When should an evaluation of a capacity development strategy/plan be set?

Use UNICEF indicators in the EAPRO region and presented in Slide 16 to illustrate the point.

Session 12: General Q&A

Allow participants to ask questions that may not have been addressed in the rest of the workshop. Questions may be answered by the different technical trainers participating in the event.

Session 13: Post Training Commitments, Evaluations and Next Steps

· Session Outline

· Closing Plenary

· Post Training Commitments

· Next Steps

· Participant Evaluations

· Workshop Closing Remarks

· Slides are to be shown to the participants

· Facilitator notes and instructions are in the notes section of the slides

· There is additional content for the facilitator to share.

· Instructions for group work, questions to ask the group are in italics.

· UNICEF provides final comments:

· EE as priority to meet development goals

· EE as job expectation; UNICEF officers can help foster, promote, and facilitate EE assessments and planning

· UNICEF provision of EE technical assistance and training opportunities

· UNICEF EE tools and resources on web

· WASH EE Learning Channel coming soon on Agora (will have Guidance, Training Materials, eLearning course, Yammer Group/Community of Practice)

Request participants to complete evaluation forms before leaving workshop.

Provide instructions where to leave completed forms

WASH Enabling Environment Training Workshop

Workshop Evaluation

Thank you for attending the WASH EE Training Workshop in Bangkok. We appreciate your feedback so that we may improve this training for other staff like yourselves. Please complete this form and return it to us before you leave the workshop.

1. Overall, how well did the workshop reach the training objectives?

Not yet

To a small extent

To a moderate extent

To a great extent

I can define the Enabling Environment in the context of WASH

I can describe the 9 core functions of EE

I can describe the theory of change for EE in the context of WASH

I can list the 6 planning steps for EE functions

I can define and explain the importance of policy making for strengthening EE

I can define and explain the importance of sector coordination for strengthening EE

I can define and explain the importance of sector planning for strengthening EE

I can define and explain the importance of budgeting for strengthening EE

I can define and explain the importance of financing for strengthening EE

I can define and explain the importance of service delivery arrangements for strengthening EE

I can define and explain the importance of monitoring and learning for strengthening EE

I can define and explain the importance of accountability and regulation for strengthening EE

I can define and explain the importance of capacity development for strengthening EE

I can integrate EE tools and resources into daily job responsibilities

I can list 3 immediate steps I can take to further integrate EE into my daily job responsibilities

2. What is your level of satisfaction with the following characteristics of the workshop?

Very dissatisfied

Dissatisfied

Neutral

Satisfied

Very satisfied

Overall quality and usefulness of the presentations

Overall quality and usefulness of the case studies and other small group work

Participant interaction/ involvement

Value of information shared

Organization of workshop

3. How useful were each of the following sessions from the workshop, in terms of addressing your EE training needs?

Not at all useful

A little useful

Somewhat useful

Very useful

Extremely useful

Day 1

Session 1: Opening Session

Session 2: WASH EE Framework, TOC, Tools

Session 3: Policy and Strategy



Session 6: Accountability and Regulation, Phase 1

Day 2

Session 7: Accountability and Regulation, Phase 2


Session 9: Planning

Session 10: Monitoring, Evaluation and Learning


Session 12: General Q and A

Day 3

Session 13: Post Training Commitments and Evaluation

5. What would you have changed about the EE WASH training workshop? Do you have any suggestions for how it could be improved?

6. Do you have any other feedback for the UNICEF EE Team?

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