WASH Enabling Environment Framework, Theory of Change and Tools NOTE TO FACILITATOR: Show slides to the participants Facilitator notes and instructions are in the Notes section of the PPT Additional content for the facilitator to share includes: Instructions for group work Questions to ask the group

WASH Sustainable Development Goal 6 Outline Learning Objectives WASH Sustainable Development Goal 6 UNICEF 2016-2030 WASH Strategic Framework Enabling Environment: Definition WASH Programming and Context Capacity WASH EE Functions, Framework, Theory of Change, Support Process, Tools Group Work

Learning Objectives By the end of this session you will be able to Define "enabling environment" in the context of WASH Describe importance of WASH EE to reach SDG 6 Define and describe “Theory of Change” for WASH EE Define “context capacity”

WASH Sustainable Development Goal 6 Universal access by 2030 At-scale service delivery and behavior change Increase in scale and rate of progress Reducing inequality Access for all population groups (whether location, income level, ethnicity, gender, etc.) Sustainable: country can Maintain service programs Operate facilities Maintain behavioral practices with minimal outside resources NOTE TO FACILITATOR: Lead a discussion with the group about what factors are essential for countries to reach the WASH SDG 6… Discuss the limitations of a project approach…. Difficult to achieve SDG through piece-meal project approach 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

UNICEF 2016-2030 WASH Strategic Framework Enabling environment is one of the programmatic approaches to reaching UNICEF’s goals NOTE TO FACILITATOR: This slide may not be readable on the screen. Please make sure you have hard copies of this slide ready and available for participants.

Enabling Environment: Definition What is an Enabling Environment (EE)? Creates in-country conditions for sustainable, at-scale WASH services Supports the context for expanding WASH programs and service delivery Uses established practice with lessons learned Other names for EE – sector reform, upstream, systems change NOTE TO FACILITATOR: Ask participants to brainstorm definition of enabling environment? Probe meaning of “enabling” and “environment”, as well as the complete term “enabling environment Show the definition later, after participants provide input

WASH Programming and Context Capacity NOTE TO FACILITATOR: This slide may not be readable on the screen. Please make sure you have hard copies of this slide ready and available for participants. This figure provides a broad indication of the types of WASH programming approaches appropriate to the “context capacity.” UNICEF’s involvement in strengthening the enabling environment and related WASH systems will be a greater focus as capacity increases. The shades of green in this figure represent levels of intensity: light green/yellow represents a low intensity level, the leaf green represents a moderate level of intensity, and the dark green a high level of intensity. This typology is important for EE programming. By mapping the national or subnational context, Host governments with support from UNICEF, can determine the appropriate programming approaches to deploy and, consequently, define the skills and resources the country requires to maximize results. The exact program design will be determined by the specific context; however, generally there will be a shift in the types of programming approaches deployed as “capacity” increases. Concentrate on EE Some EE Focus No EE Focus Needed

Factors that influence WASH EE engagement and support Group Work Factors that influence WASH EE engagement and support List different factors that influence the WASH EE in your country. For each factor, identify whether UNICEF can have influence on it or not and why. Discuss with your table and share with the larger group when asked. NOTE TO FACILITATOR: The purpose of this exercise is to get participants to understand the different types of factors that will influence how participants engage in supporting the WASH EE in their country. ASK PARTICIPANTS Using your knowledge and experience, discuss the different factors that will influence how you would engage in supporting the WASH EE in your country?

WASH EE Functions Sector Policy and Strategy Institutional Arrangements Sector Coordination Service Delivery Arrangements Regulation and Accountability Sector Financing Budgeting Financing Sector Planning, Monitoring and Review Planning Monitoring, Evaluation and Learning Sector Capacity Development The core WASH enabling environment functions are aligned with those used in the UNICEF WASH-BAT tool and may need to be adjusted as the WASH-BAT tool is improved.

Context: WASH EE Framework Ask participants: WHAT ARE THE EXPECTED OUTCOMES OF BUDGETING AND FINANCING? Financial flows are adequate and predictable and meet national targets. The WASH sector is able to attract different sources of funding. WHAT INDICATORS CAN BE USED TO MEASURE BUDGETING AND FINANCING? Budgeting Budgetary allocations include enough funds to support to the delivery of services. Budgetary allocations include enough funds to cover capital expenditures to meet national water sector investment targets. The budget is adequate and disaggregated between each of the subsectors (rural, urban, water, sanitation). The budget and expenditure are publicly available. Financing Financial flows are predictable. Financial needs for sector operations are known Amount of funding available from taxes, tariffs and transfers to fund sectoral operations are known Existence of legal and institutional frameworks for financial transactions to take place; Public allocations to water and sanitation as % GDP Existence of financing institutions

What functions did Ethiopia have in place ? Group Work WASH EE in Ethiopia Drawing on the WASH functions what do you think was in place that is not specifically listed here? What functions did Ethiopia have in place ? Thinking back to the last slide where we talked about the 9 governance functions, what functions did Ethiopia have in place here. What do you think was in place that is not specifically listed here? 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 Results OD declined from 84% to 34% Inequality in access to sanitation between the top quintile and the bottom quintile declined

Context: WASH EE Theory of Change This is probably too small. You need to make the type bigger on this slide. It will not be readable. If this is not possible, then participants need to have a handout.

WASH EE Support Process

How will you support WASH EE? Group Work How will you support WASH EE? What are the implications for you as UNICEF staff to work on the EE? What kind of skills are needed to work on EE? What kind of support will you need to move away from the conventional way of doing business and help the government do the same? NOTE TO FACILITATOR: Lead a discussion using these three guiding questions. Ensure that participants use their experiences to inform the discussion.

Read the tool sheet you get Think or discuss with your partner Group Work WASH EE Tools and Use Read the tool sheet you get Think or discuss with your partner Purpose of tool How you have used or would use it Challenges to using it NOTE TO FACILITATOR: Please make sure you have List of Tools handout ready and available for participants. Round Robin Tool Sharing – 20 Minutes Participants will work in pairs or alone. They will read a description of one tool and answer the questions. (10 Minutes) Participants will describe the tool in one minute and explain how to use it. (10 Minutes) UNICEF Advocacy Toolkit WASH Joint Sector Reviews (JSRs) Monitoring Sanitation and Water for All (SWA) High-level Commitments UN-Water Global Analysis and Assessment of Sanitation and Drinking Water (GLAAS) WSP Country Status Overviews (CSOs) (World Bank) Rural Sanitation EE Assessment (World Bank) Sanitation and Water for All (SWA) WASH Bottleneck Analysis Tool (WASH-BAT) (UNICEF) ESI Costing Toolkit (World Bank) Track-Fin (WHO) Value for Money (VFM) Tool (DFID) Public Expenditure Review (PER) of WASH sector (World Bank) Public Expenditure Tracking Survey (PETS) of WASH sector (World Bank) Territorial expenditure analysis of WASH Fiscal space analysis (UNICEF) Economic Sanitation Initiative Toolkit UNICEF Accountability Reference Guide

For more information, please contact David Tsetse, Ph.D. WASH Specialist, Planning Monitoring and Capacity Building Programme Division Tel: 917-265-4663 E-mail: dtsetse@unicef.org © United Nations Children’s Fund June 2016 Cover photo © UNICEF