WASH Bottleneck Analysis Tool Simple Guide to the

WASH Bottleneck Analysis Tool Simple Guide to the Online Platform © UNICEF/simonlister

Content 2 • What is WASH Bottleneck Analysis and the WASH BAT? • How is the WASH BAT implemented? • What are the functions and features of the online tool?

What is WASH Bottleneck Analysis and the WASH BAT?

Key Facts about the WASH BAT • The WASH BAT was developed in 2012 as an Excel-based model and over 3 years was implemented in multiple sub-sectors in >15 countries • In 2014 work began online software version, and by now has been implemented in 8 countries • This version adopts UNICEF’s Enabling Environment framework and the five SWA building blocks • The tool comes with a host of resources: – – – Website with online tool (unbranded) www. washbat. org Tool User Guide Country Implementation Guide Training materials

What is WASH Bottleneck Analysis? Root cause analysis (what are the key constraints to scaling up and sustaining quality WASH services? ), solutions (How can they be removed and at what cost? ) and planning (What is the priority and sequencing of each? Who is responsible? ) UN Water, implemented by WHO, releases the Global Analysis and Assessment of Sanitation and Drinking-Water (GLAAS) every 2 years, linked to the SWA High Level Meetings The World Bank’s Service Delivery Assessments have been applied in >10 Asian countries, and previously in 32 African countries (Country Status Overviews)

The Tool Adopts the Building Blocks of Sanitation and Water for All Partnership 6 Enabling Environment – UNICEF for every child

xx 7 Enabling Environment – UNICEF for every child

Plus Wider EE Aspects are Considered The UNICEF Enabling Environment Framework Incorporates the 5 SWA “Building Blocks” 8

WASH Bottleneck Analysis Tool (BAT) Based on these other tools, the WASH BAT was created to provide a step-by-step methodology to identify and propose solutions for the problems afflicting the WASH sector (by sub-sector) Primary adopters of the tool: GOVERNMENT Outcome of the tool: BROAD SECTOR OWNERSHIP and BUY-IN 1. Agreed major fundable activities to remove priority bottlenecks that inhibit sector progress 2. Integrated into government systems, gaining political support, with regular M&E

In brief, the WASH BAT: • Brings stakeholders together in an open forum to explore what are the factors constraining WASH sector progress • Facilitates identification of workable solutions to these problems, with costs, priorities, sequencing and responsibilities – which can directly feed into work plans of each stakeholder • Highlights resource gaps to solve sector solutions • Enables monitoring of bottlenecks over time and fine-tuning of approach to address them The tool therefore provides confidence to sector investors that issues are being addressed rationally and lead to workable solutions

The Online Interface Give Award Identify bottlenecks and causes

WASH BAT enables in-depth analysis The tool allows assessment of criteria: • The private sector is incentivized to invest in rural water infrastructure and service delivery • Public allocations to water as % GDP are sufficient • % of external aid (out of total aid for rural water) that supports water plans and budgets • Tariffs can be adjusted to cover the costs of services (Op. Ex if Cap. Ex is covered by public funds) and cost inflation • Existence of financing institutions and mechanisms to raise additional finances for rural water (e. g domestic bond market) • There is a ready pipeline of bankable projects in rural water Ø Are these important? Ø How does the sector measure up to these? Ø If there are gaps, what are they? Ø What activities are needed to overcome them? Ø How much do these cost? Over what time period? Who’s responsible?

How is WASH BAT Implemented?

How is Bottleneck Analysis Implemented? Identify demand or need for BA WASH BAT is both a tool and a process Conduct M&E Prepare the ground Implement Activities Consultative workshop(s) Government Internalizes

Step 1 - Assessment of Need / Potential What are the main EE issues? Is WASH BAT relevant? Have other sector diagnoses been done? What is value-added of WASH BAT? Can key stakeholders be assembled in an open forum to discuss these (difficult) issues? Are there sufficient resources & institutional support to follow though & integrate into local processes?

Step 2 - Preparation Engagement development partners – establish link policy processes Agree which sub-sectors / levels of analysis are within scope of assessment Estimate resource requirements for one implementation cycle Engage consultant, train facilitators, collect key studies, customize criteria Ensure key reps (or their delegates) and resource people can come to workshop

Step 2 - Gathering Evidence & Information Coverage + • National & JMP numbers • Administrative data • Functionality • Water quality, etc • Fecal sludge, etc Sector financing • Government expenditure • Future donor commitments • Unit costs Bottleneck analyses and ongoing monitoring initiatives • GLAAS • CSO / SDA / MAPAS • JSR Sector studies • Policy reviews • Regulatory studies • Utility reform • Market studies • Private sector access studies Compile Information by Building Block

Step 3 - Conducting a BAT (workshop) Register / login Select Scope Divide into groups Assessing Building Blocks & Criteria Customize (Add / Delete) Scoring Bottleneck Analysis Bottlenecks Causes Activity Planning Activities Review outputs Priority & Timing Costs & Financing Outputs Sequencing Responsibility Plan next steps Interaction & Consensus-Building Set Up

Step 4: Endorsement / validation Complete workshop tasks • Refine cost estimates • Identify financing available • Complete any other tasks Workshop report • Key recommendations • Activity plan • Identify knowledge gaps to fill Engage decision makers • Engagement with key decision makers • Agree priorities • Funding modalities

Step 5 – Implementing activities Long term vision to guide implementation Establish implementation framework – responsibilities, procedures etc. Pay attention to sequencing Look out for merging, joint planning, cost savings

Step 6 – Monitoring and evaluation Tool’s review feature enables all M&E to be done online Have activities been implemented? Have bottlenecks been removed? Existing bottlenecks? New bottlenecks? Has there been feedback to stakeholders? Need to re-adjust? Impact? – longer term perspective

What are the Functions and Features of the Online Tool?

The Online Tool Register for Approval www. washbat. org

Register new user Login & language selection

Navigation Add new analysis Turn on Page Guide for instruction Left Bar allows easy navigation Top breadcrumb shows where you are

Setting up a new analysis Each sub-sector and admin level implementation is a different analysis

Setting up a New Analysis

Adding Participants (in group work)

Select Building Blocks

Select Criteria and Adjust Definitions Reference to GLAAS 2016/7 question Tagging options

Adding Criteria (where gaps exist)

Add Function in Building Block Add Function Add Tag Merge with another analysis (ongoing in parallel) Page guide

Bottleneck Analysis Give Award Identify bottlenecks and causes

Adding Causes of each Bottleneck Select most critical cause

Managing Activities to Remove Bottlenecks Manage Activity

Activity, Priority, Reason and Timing

Costing of Activities Download detailed costs to Excel Manage Costing Identify duplicates

Detailed or Lump Sum Costs

Allocation of Additional Funds Allocation of funds

Allocation of Additional Funds

Assigning Responsibility Identify responsible agent(s)

Generating Reports Gantt Chart Export Excel Share Page guide Filter Select columns

Options for an analysis

Conclusions WASH BAT is a powerful tool, if it is connected to policy processes and implementation ü Stakeholder ownership of process from the start ü Workshop outputs need endorsement and follow-up ü Should link to sector monitoring initiatives – e. g. JSR ü Can be repeated (lighter touch) after 1 -2 years

For more information on the WASH BAT, please contact: Guy Hutton Senior Adviser (+1) 917 724 1340 and ghutton@unicef. org United Nations Children’s Fund 3 United Nations Plaza New York, NY 10017, USA Tel: 212 -326 -7000 www. unicef. org © United Nations Children’s Fund October 2016 Cover photo © UNICEF/NYHQ 2010 -2972/Noorani