1. WASH Enabling Environment
Capacity Development
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

2. Outline
Learning Objectives
Context
Strategies
Group Work
WASH EE Support Process
Scoring

3. By the end of this session, UNICEF staff will be able to:
Learning Objectives
By the end of this session, UNICEF staff will be able to:
Explain the importance of capacity development in WASH EE strengthening
Describe the framework and for supporting capacity development efforts
Identify actions and develop capacity support process to strengthen the EE
Ask the participants:
HOW WOULD YOU DEFIND CAPACITY DEVELOPMENT?
It is a process through which individuals, organizations and societies obtain, strengthen and maintain the capabilities to achieve WASH sector development objectives over time

4. 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

5. 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.

6. Strengthen Transfer Introduce Enhance
Strategies
National institutions
National and local policies
Accountability, coordination, and representation mechanisms
Strengthen
Influence
Attitudes, values, organizational cultures, and incentive structures
Transfer
Knowledge
This slide shows the different ways that capacity can be strengthened…capacity refers to skills, knowledge, channels as well as attitudes, values and culture.
Introduce
New technologies for effective service delivery
Enhance
Knowledge and skills of women and children

7. Group Work
Read the case study on Liberia. Use your existing knowledge and experience to answer the 4 questions that are included in your packet.
As a large group, each table will take the lead in answering the questions. The other tables will add to the discussion if they have other comments to make.
Have participants break in to 3 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)

8. WASH EE Support Process
We will use the WASH EE Support Process to explore capacity development….

9. Support Process Step 1: Agree
To obtain consensus for developing a Capacity Development Plan, which stakeholders need to sit at the table?
What should the consensus exercise examine?
What procedures should be adopted to arrive at a consensus?
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
What?
How linked to larger development goals
How linked to goals in the WASH sector
How?
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.

10. Support Process Step 2: Assess
What information is available to understand current country capacity? Who will gather and analyze it?
What capacity is required to implement WASH within the country?
Where is this capacity located?
What key enabling factors exist that will help the WASH sector to develop
Do capacity development bottlenecks/challenges exist that constrain the sector
Answers
Question 1:
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

11. Support Process Step 3: Plan
UNICEF has agreed to assist the government in designing a Capacity Development Plan
What are the components needed as part of this plan?
Design a framework for identifying what exists, what is needed and how the needs can be met.
Work on these questions in table groups where you are.
Answer to Question 1
Set objectives and targets
Identify specific actions needed
Create a timeline
Answer to 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 & internships
Create a Timeline
Calculate the investments needed to implement this capacity development plan (see example from Liberia – slide 13)

12. Support Process Step 4: 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?

13. Support Process Step 4: Invest
Liberia Capacity Development Plan Anticipated Costs (US$)
Objectives
Funding Requirement
Strengthen human capacities at GoL at national level
$5,631,250
Strengthen institutional capabilities of GoL at national level
$29,279,712
Strengthen human capacities at GoL at sub-national level
$1,898,000
Strengthen institutional capacities of GoL at sub-national level
$23,215,700
Strengthen human and institutional capacities through action research/pilot
$ 3,395,000
Strengthen human capacities of CSOs, private sector and media
$700,000
Strengthen the enabling environment (laws, regulations, policies, strategies, guidelines, advocacy)
$ 2,475,000
Strengthen education and training institutions and develop new or improved courses
$ 7,380,000
Grand Total
$74,184,662
If you need an example, you can unhide this slide. This shows how the Liberia Capacity Development plan anticipated its capacity development costs.
Liberia CD Plan Projected Costs:

14. Support Process Step 5: Implement
Brainstorm a list of opportunities that UNICEF can suggest to the government to improve capacity and competencies of its staff.
Discuss strategies UNICEF has taken to assist countries improve capacity for delivering WASH services.
Describe how to determine that capacity development needs have been met.
Answer to Question 1
Increasing 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
Answer to Question 2
South-South transfer of skills (visits)
Supporting the activities noted above in Question 1
Answer to Question 3
Objectives and scope
Monitoring vs 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?

15. Support Process Step 6: Monitor and Evaluate
What indicators need to be retained to monitor and evaluate a capacity development strategy or plan?
How often should be the monitoring of the plan occur?
When should an evaluation of a capacity development strategy/plan be set for?

16. Capacity Development Scoring
Countries
Capacity and Incentive plan developed shows if an assessment has been made and documented, and outlines what capacity is needed and in which organizations
Sufficient capacity at national, district, and community levels for improved delivery which is in line with established targets
Mobilized private sector with a sufficient number of firms producing sanitation materials and hardware to make significant progress
Cambodia
Laos
Myanmar
Papua New Guinee
Vietnam
Weak / Gaps
Moderate Progress
Good Progress

17. For more information, please contact
David Tsetse, Ph.D.
WASH Specialist, Planning Monitoring and Capacity Building Programme Division
Tel:
© United Nations Children’s Fund
June 2016
Cover photo © UNICEF