1. GSF Results and Financial Monitoring Workshop
White Sands, Dar es Salaam, Tanzania
10-15 September 2017

2. Global Sanitation Fund Theory of Change
WSSCC Strategic Plan 2017–2020
and the
Global Sanitation Fund Theory of Change

3. WSSCC’s focus: Sustainable Development Goal 6.2
WSSCC was part of the sector advocacy push to establish SDG 6.2, highlighting the important role of sanitation and hygiene for development
Because WSSCC’s work is guided by the Sustainable Development Goals, which aim to transform the world by 2030, this updated Strategy is the first in a sequence of strategies which later will guide WSSCC’s work from and

4. Sanitation & hygiene as entry point
Investments in sanitation and hygiene are investments in poverty reduction, in women’s empowerment, in health, in education, in community mobilization, in local governance, and much more.
In developing the Strategy, particular emphasis was placed on WSSCC’s ability to assist countries to attain not only Target 6.2 within SDG 6 on Water and Sanitation, but also to demonstrate the centrality of safe sanitation and hygiene in reducing poverty and inequalities; improving education, employment, health, and women's empowerment; and adapting to urbanization and climate change.

5. Our Vision
A world in which everyone, everywhere is able to practice safe sanitation and hygiene with dignity.
Our Mission
To enable all people and especially women, girls and those living in vulnerable situations to practice the right to sanitation and hygiene across the course of their lives with dignity and safety.

6. Two Strategic Outcomes Four Intermediate Outcomes
The strategy identifies the results WSSCC would like to achieve, the issues it will work on, the regions where it will work, and the unique mix of tools, instruments, knowledge and human and financial resources WSSCC has to make a meaningful, quantifiable and sustainable impact for people without sanitation and hygiene in the world, especially those in the most vulnerable situations.
This is a summary of our Strategic and Intermediate Outcomes. On the path to realizing SDG 6.2 and associated goals, we have two high level strategic outcomes and four practical outcomes to achieve.

7. You ask: How does this link to the GSF Theory of Change and Results Framework?

8. GSF ToC and Results Framework
Findings from the GSF M&E Diagnostic Study (2015) and the Mid-Term Evaluation Synthesis Report (2015) identified a number of issues:
Lack of an explicit Theory of Change that explains the change GSF set out to achieve, the causal pathways, assumptions, risks and mitigation measures;
Inability to capture the entirety of results being achieved in countries;  
Programmes falling short on capturing results related to influencing national/local policies and building national/local management capacities;
Results Framework that did not effectively demonstrate the path to achieve change at scale;
Indicators are too activity focused and do not give any indication of whether relevant capacity is being strengthened or the enabling environment improved;
GSF programmes have not been reporting on results in all of the outcome areas (and are mainly only reporting on outcome area 1).

9. WSSCC MTR and Strategy Development
(2) In parallel in 2015 WSSCC commissioned a Mid-Term Review (MTR) of its MTSP to assess its progress against intended results. This built on the GSF MTE and confirmed many of its findings. It also suggested WSSCC as a whole needed a ToC. (3) From December 2015, WSSCC embarked on a process to develop its next MTSP. It was clear (and strongly supported in the 16 country consultations) that GSF would continue to be a key part of WSSCC and a key mechanism through which WSSCC seeks to achieve its results, particularly around supporting SDG 6.2

10. Why a new GSF results framework?
(4) GSF, with support from IRC and University at Buffalo therefore embarked on a process to develop an explicit GSF Theory of Change, revise the Results Framework, and strengthen M&E processes and systems, including the outcome surveys. A new framework:
is an opportunity to respond and adapt to the demands of the SDGs, focusing on universality, social transformation and strategic partnerships
allows alignment with SDG6.2 indicators
allows focus on equality and non discrimination particularly with respect to “the needs of women and girls and those in vulnerable situations”

11. Links between the Results Frameworks
WSSCC Strategic Plan Framework present an overview of all WSSCC’s expected results and activities at global, regional, national and sub-national levels.
Results Framework lists selected Key Performance Indicators that measure overall progress of the entire organisation against the Strategic Plan targets.
The GSF Results Framework incorporates those KPIs that are directly relevant to its work, but also lists more indicators required for successful management of the GSF, including output indicators.

12. The GSF Theory of Change
Investing in Collective Behaviour Change and the Enabling Environment to Achieve Sustainable Sanitation for All
In summary: Getting to SDG 6.2 in entire administrative areas; building a movement to do the same nationally and globally

13. Output (intermediate outcome)
Theory of change logic:
Activities lead directly to Outputs (intermediate outcomes)
Outputs and additional activities lead to Outcomes
Outcomes contribute to overall impact
All along the causal chain, assumptions are made and condition the success/failure of activities
What is not shown – for clarity – are the lines of feedback generated by monitoring along the logic model. Monitoring of assumptions is particularly important as it is often overlooked.
Goal
The end Goals to which all GSF activities, outputs and outcomes contribute
Outcome
The GSF makes a significant contribution to this. Because of reliance on the actions of others, direct attribution is also no really possible here
Direct line of causation
Conditioning assumptions
Output (intermediate outcome)
Achievement of these can be entirely or largely attributed directly to GSF interventions. Red outline indicates the most important impact level outcome.
GSF ToC and Results Framework:
Dynamic, flexible and adaptive
A single overarching framework for the GSF during the entire SDG period.
To be applied across a wide range of country contexts and at different stages in a country’s progress towards 6.2. – each country to make it context-specific
Activity
In practice, these are sets of activities grouped together for convenience and because of their fairly direct linkage to an output or outcome
Assumption
For a given output or outcome to give rise to another outcome or goal – these assumptions have to hold true (or be made to become true). Assumptions are an important level for monitoring.

14. Introducing the Theory of Change
The Global Sanitation Fund mission: using targeted investments in large scale collective behaviour change and strengthening enabling environments, to catalyse and drive achievement of adequate and equitable sanitation and hygiene for all
The GSF Theory of Change:
Work at three levels: subnational, national & global
Achieve entire administrative areas that are open defecation free, through a range of collective behaviour change activities at scale
Support local stakeholders and work with partners to gradually achieve SDG 6.2 in these administrative areas
Provide Proof of Concept and ignite and support a movement aimed at nationwide and then global achievement of SDG 6.2.
Explicit focus on household AND extra-household settings (schools, health centres, market places, public institutions, transport hubs etc)
Strategic partnerships to address extra-household hardware components and the safe sanitation chain (offsite elements)
Explicit strategies to ensure inclusion of potentially disadvantaged groups and individuals

15. Goal 2: Global achievement of SDG 6.2
Outcome G1: Global political commitment exists
Outcome G2: Global models and experiences available/used
Global advocacy
Global sharing of lessons learned
Goal 1: National achievement of SDG 6.2
Outcome N1: National enabling environment for achieving SDG 6.2
Outcome N2: Effective delivery mechanisms for achieving SDG 6.2
National change hubs
National advocacy
National system and capacity building
National learning, documentation and sharing
Outcome S1: SDG 6.2 in Targeted Administrative Areas
Intermediate outcome S1: Sustained ODF communities
Intermediate outcome S2: Strategies and approaches for reaching and sustaining SDG 6.2
Intermediate Outcome S3: Subnational political & financial commitment
Intermediate outcome S4: Subnational capacities and systems
Facilitate collective behaviour change
Sub-national change hubs
Supply side activities
Addressing vulnerability & marginalisation
Sub-national system and capacity building
Sub-national learning and innovation
Sub-National Advocacy

16. 2. Sub-national level
The full ToC as presented on slide 4 also includes outcomes at the Global level – this presentation focuses on the outcomes at National and Sub-national level

17. Outcome S1: SDG 6.2 in Targeted Administrative Areas
Entire populations in targeted administrative areas achieve access to adequate and equitable sanitation and hygiene for all, end open defecation, paying special attention to needs of women and girls and those in vulnerable situations
Intermediate Outcome SIO 3: Subnational political & financial commitment
Political leadership in targeted administrative areas is visibly committed to achieving and maintaining SDG 6.2, including through allocation of financial and human resources
Intermediate outcome SIO 4: Subnational capacities and systems
Capacity and systems exist in targeted administrative areas (private, public and civil society) to lead, plan, implement, monitor, coordinate and sustain sanitation and hygiene interventions
Activity : Sub-national advocacy
Assumption: Local governance
Assumption: Relative stability
Activity: Sub-national Capacity building
Assumption: Sufficient human and financial resources
Intermediate outcome SIO 1: Sustained ODF communities
Communities/Population in targeted administrative areas have ended OD; use improved sanitation; access handwashing facilities;
Assumption: Willing and Able Partners
Activity: Sub-national Change Hub
Intermediate outcome SIO 2: Strategies and approaches for reaching and sustaining SDG 6.2
Strategies and approaches are being applied in GSF targeted administrative areas to contribute to the realisation of SDG 6.2
Assumption: Sanitation Chain + Hardware implementation
Activity : Sub-national supply side activities
Activity:
Facilitate collective behaviour change
Assumption: Sufficient human and financial resources
Activity: Addressing vulnerability & marginalisation
Assumption: Willingness to address marginalisation
Assumption: Space to experiment
Activity : Sub national Innovation
Note: For ease of reading, links are only shown between Outcomes, illustrating the main logical flow of the Theory of Change.
Activities and assumptions are grouped with the Outcomes they most directly influence. SIO 1 is considered instrumental in achieving SIOs 2, 3 and 4 and is therefore highlighted in Red. The Assumption ‘Willing and Able Partners’ and the Activity ‘Subnational Change Hubs’ relate equally to all Outcomes.

18. Ensure and sustain ODF Change norms
Intermediate outcome SIO 1: Sustained ODF communities Communities/Population in targeted administrative areas have ended OD; use improved sanitation; access handwashing facilities;
What does it entail:
Ignite community processes to adopt new behaviours and achieve ODF: facilitation of community analysis; support to community latrine construction and use – context specific and targeting appropriate levels of service; handwashing promotion
Work with communities, local governments, champions and stakeholders to maintain and engrain behaviour change; e.g. through targeted follow-up and retriggering; and supply side activities to support an ascent on the sanitation ladder towards sustainable safely managed services
Ensure access and use anytime, anywhere: in various extra-household settings such as schools, health centers, and institutions, as well as during work and travel. Work strategically with other partners to encourage and source required contributions
Leave no one behind and ensure meaningful involvement of potentially disadvantaged people: identify, understand, involve, do no harm, support
What gets measured
Ensure and sustain ODF
Change norms
supply-side activities
meaningful involvement of women and girls; elderly, disabled people
Levels of service

19. What does it entail? ODF as an entry point for achievement of SDG 6.2
Intermediate outcome SIO 2: Strategies and approaches for reaching and sustaining SDG 6.2
Strategies and approaches are being applied in GSF targeted administrative areas to contribute to the realisation of SDG 6.2
What does it entail?
ODF as an entry point for achievement of SDG 6.2
Progressive advancement towards safely managed sanitation – contextualisation of what is required (e.g. rural-urban; onsite – offsite); faecal sludge management; closing the loop
Activities related to strengthening the supply chain; MHM, water hygiene, food hygiene
Activities related to building resilience of facilities and behaviours to climate change and extreme weather events
Development of (peri) urban strategies
What gets measured –
SOME OPTIONAL
Safely managed sanitation – the service ladders
Supply chains
MHM
Household Water Treatment and Storage
Urban areas in rural districts with FSM services

20. Reflection Exercise– shaping your ToC
How change happens
Ensuring sustainable ODF outcomes:
What kind of actions does your programme need to undertake to ensure sustained outcomes and behaviours; and is the programme currently engaging in these?
Covering entire administrative areas:
Is this already a programmatic aim? How can the programme strenghthen its accent on this, in terms for example of strategic site selection and strategies for geographical spread; sanitation and hygiene in schools, institutions, public spaces etc; peri-urban programming?

21. Shaping your ToC - continued
Working towards SDG 6.2
Are you currently working towards / what programmatic adjustments do you need to make in order to progressively work towards
Climbing the ladder, safely managed sanitation
MHM
Climate change resilient infrastructure and behaviours
Water hygiene
EQND: How to reinforce / strengthen programming aspects to make sure no one gets left behind?

22. Public commitments Resources
Intermediate Outcome SIO 3: Subnational political & financial commitment
Political leadership in targeted administrative areas is visibly committed to achieving and maintaining SDG 6.2, including through allocation of financial and human resources
What does it entail:
Create a sub-national movement:
Leadership and commitment for a common goal amongst local leaders (political, administrative, traditional and emergent) – sense of shared responsibility
Creation of a ‘Change Hub’, a mechanism for the movement, for coordination, learning, inspiration, etc
Identification and engagement of potential local champions and power and influence structures
Peer-to-peer advocacy with neighbouring administrative areas; institutional triggering
Development of roadmaps or strategies
Generation of evidence, demonstrating the model
These activities are continuous throughout the programme life cycle and run in parallel to community-based activities
They take place in each administrative area, and where possible bind areas together into a subnational movement
What gets measured
Public commitments
Resources
Roadmaps or strategies

23. capacity building efforts Multi-stakeholder bodies
Intermediate outcome SIO 4: Subnational capacities and systems
Capacity and systems exist in targeted administrative areas (private, public and civil society) to lead, plan, implement, monitor, coordinate and sustain sanitation and hygiene interventions
What does it entail:
Provide bespoke capacity building efforts
Target those actively involved in the movement – IPs, government entities, civil society partners, private sector and community actors such as Natural Leaders, WASHCOMs and Community Engineers
Learning by doing, on the job training, peer-to-peer support, exchanges, mentoring etc.
Develop the capacity of different partners and communities to achieve and maintain ODF status and to provide services further up the sanitation ladder
Strengthening of local monitoring, planning, budgeting or coordination competencies
Setting up or supporting subnational change hubs, learning platforms, or coordinating bodies
Review progress, assess approaches
Constructively challenge and learn
What gets measured
capacity building efforts
Multi-stakeholder bodies
learning platforms
Natural Leaders
Community support systems
ODF verification systems

24. Subnational Assumptions
Willing and able partners
Sufficient human and financial resources
Willingness to address marginalisation
Sanitation chain and hardware implementation
Relative stability conducive to development activities
‘Good enough’ local governance
Space to experiment
On Willing and Able Partners: The heart of collective action is partnership. A crucial part of the upstream work is to mobilise partners to converge around a common goal. At times as the GSF programme starts, there can be antagonism between partners or existence of conflicting approaches. Institutional Triggering is thus an effective instrument to foster partnerships and widespread commitment to achieve the common goal that is achieving 6.2.

25. Reflection Exercise – shaping your ToC
How change happens
Ensuring political and financial commitments:
Is this currently an explicit part of your programmes, who does it and how does it happen? Who do you target, what tools do you use? Are you supporting roadmap or strategy development?
Building subnational capacity
Whose capacity is being built; by whom, for what? How/what is the programme doing to strengthen systems? E.g. M&E and verification?

26. Supporting SDG 6.2 Nationwide
Detailed Theory of Change for National Level

27. National Achievement of SDG 6.2
Goal 1
National Achievement of SDG 6.2
People achieve better Hygiene outcomes through changed sanitation behaviours
Outcome N1: National Enabling Environment for achieving SDG 6.2
Substantial political commitment, increased resourcing, and strengthened capacity, systems, coordination and collaboration is in place for achieving sanitation and hygiene for all
Activity:
National Change Hub
Outcome N2: Effective delivery mechanisms for achieving SDG 6.2
Appropriate delivery mechanisms for sustained, universal sanitation and hygiene behaviours and services are applied to cover the range of contexts in the country
Assumption Credibility of WSSCC/GSF
Activity:
South –south exchange
Assumption: Responsive policy environment
Activity:
National Advocacy
Activity: Leverage resources
Assumption: Political stability and financial resources
Activity:
National Learning Documentation and Sharing
Assumption:
Adequate human resources
Activity:
National Capacity Building
Note: For ease of reading, links are only shown between Outcomes, illustrating the main logical flow of the Theory of Change.
Activities and assumptions are grouped with the Outcomes they most directly influence.

28. Key concepts
Proof of Concept
Country-led Design for Scale – National Ownership
Demonstration in multiple Administrative Areas – aggregate success as the basis for a broader movement

29. Outcome N1: National Enabling Environment for achieving SDG 6.2
Substantial political commitment, increased resourcing, and strengthened capacity, systems, coordination and collaboration is in place for achieving sanitation and hygiene for all
What does it entail:
Support the development of national costed ODF roadmaps or strategies to reach SDG 6.2
Nurture a national movement; identify and support influential Champions, at national or subnational level
Inspire geographical scale-up
Use institutional triggering, exposure visits, targeted advocacy
Advocacy to ensure systems, structures and resources are in place:
Inspire and support policy change
Advocate for resource commitments - leverage and identify new financial resources
Score card approach
Substantial political commitment
Increased resourcing
Strengthened capacity and systems
Strengthened sector coordination and collaboration

30. Outcome N2: Effective delivery mechanisms for achieving SDG 6.2
Appropriate delivery mechanisms for sustained, universal sanitation and hygiene behaviours and services are applied to cover the range of contexts in the country
What does it entail:
Support National ‘Change Hubs’: dynamic spaces or platforms bringing together a coalition of partners (governmental, civil society, private) at the national level for coordination, peer review, verification of results, exchange of lessons learned and constructive criticism
Support capacity development that will enable national roll-out of sanitation services. Focus on planning, coordination and M&E / national results verification; but also technical programming
Document lessons learnt
Support programmatic and sector learning, through platforms, meetings, processes
Participate in / learn from South-South exchange
Score card approach
Existence of successful delivery mechanisms
Adaptation of delivery mechanisms
Scaling up of and
Increased investment in successful delivery mechanisms

31. National Assumptions
Successful target administrative areas - the single biggest assumption in this theory of change is that the GSF entities can foster a movement of partners that can effectively demonstrate – at scale – that SDG 6.2 or sustained ODF/Total Sanitation status (however defined in the local context) is achievable.
Credibility of WSSCC/GSS
Political stability and financial resources
Adequate human resources
Responsive policy environment
Political stability and financial resources: Sanitation must also be considered a continuous national priority despite shifts in entire governments or individual cabinet members.

32. Reflection Exercise – shaping your ToC
How change happens
National enabling environment:
Is this currently an explicit part of your programmes, who does it and how does it happen? Who do you target, what tools do you use? Are you supporting national roadmap or strategy development?
Replication of effective delivery mechanisms:
Is there a national movement/change hub? How does the programme support this? Are you engaging in advocacy around the delivery model? Has this resulted in replication or influencing other programmes/ national strategies?

33. 3.3 Contributing to SDG 6.2 Globally
Detailed Theory of Change for Global Level

34. Global Theory of Change
Introduction
GSF is a part of WSSCC. In the same way that GSF intends to ignite and support movements at the subnational and national levels, WSSCC aims to be at the heart of a global movement to improve sanitation and hygiene, so that all people can enjoy healthy and productive lives. It does this through facilitating collaboration, through advocacy, learning, and information sharing.
At the global level, GSF’s Theory of Change is very much a part of WSSCC’s broader vision of how change happens, and how the Council fits in this wider process.
Narrative
As per the diagram on the next page, GSF aims to contribute to global political commitment, and to the existence, sharing and replication of ample models, approaches and delivery mechanisms to achieve the global goal of adequate and equitable sanitation for all.
It uses results-based advocacy to feed into global political processes, and publishes, presents and shares in many different ways its experiences and lessons learnt on effective collective behaviour change programming for sanitation and hygiene.

35. Outcome G1: Global Political Commitment Outcome G2: Global Models
Goal 2: Global achievement of SDG 6.2
People achieve better Hygiene outcomes through changed sanitation behaviours
Outcome G1: Global Political Commitment
SDG 6.2 exist and resources are availed by National Governments and Development Partners
Outcome G2: Global Models
An appropriate range of delivery approaches, mechanisms and models for sustained, universal sanitation and hygiene behaviours and services exist and are well documented and made available for a broad range of differing global contexts
Global Advocacy
Assumption Credibility of WSSCC/GSF
Global Sharing of Lessons Learned

36. Outcome G1: Global Political Commitment Outcome G2: Global Models
SDG 6.2 exist and resources are availed by National Governments and Development Partners
Outcome G2: Global Models
An appropriate range of delivery approaches, mechanisms and models for sustained, universal sanitation and hygiene behaviours and services exist and are well documented and made available for a broad range of differing global contexts
What does it entail:
Contribute to advancing SDG 6.2 globally by advocating for more commitments and resources and sharing concrete models for programming
Contribute to the global learning agenda through publications, presentations, engagement in sector discussions, real-time learning, strong empirical data, platforms for exchange, etc.
What gets measured
WSSCC Results Framework
Aggregated outcomes
Contributions to learning and documentation
Assumption: GSF/WSSCC credibility

37. A staged approach, flexible and adaptable
ToC covers entire period until 2030, programmes go through different phases:
Design:
Strongly context specific, but nationally led and still aimed to provide proof of concept
Demonstration:
Making progress on all sub-national outcomes – 1 to 4
Achieving entire administrative areas that are ODF and start working towards reaching SDG 6.2
Transition:
Three pillars:
New results for continued scale up;
Ensuring sustainability of behaviours, facilities and institutions;
Ensuring a conducive environment for scale through advocacy, learning, leveraging funds, and strengthened coordination

38. National Level Sub-national level Design I Design II
Strengthened sector collaboration
Enhanced policies and strategies
Country programme proposal
Leveraged funds for replication
Improve enabling environment
Leveraged funds for replication
Delivery
model adapted
Transition to national scale
Demonstration II
End open defecation across more difficult administrative areas
Invest in behaviour change sustainability, increasing access to quality services, and further address EQND
Demonstration I
End open defecation across entire strategic administrative areas
Sub-national level

39. Thank you