Assess
Overview
The “Assess” phase is the second of the five phases involved in implementing the Harmonized Framework. This phase focuses on understanding existing business and operational practices, as well as the human rights challenges of the selected value chain, to establish a baseline set of data compared to the Harmonized Framework.
The baseline assessment should provide a summary of whether or not all key actors across the value chain meet Harmonized Framework indicators. The baseline should be established from a strengths-based and improvement-driven perspective, where participants can freely report on current challenges so that they can be addressed. The aim of the process is to establish a relationship of trust, understanding, and collaboration. The resulting data helps the project team understand the strengths and challenges, and guides them in structuring and prioritizing solutions.
Due diligence on pre-existing efforts will be critical to the success of this phase and to solutions development and implementation, and it requires the cooperation of all key actors across the value chain.
Where to Start
The responsible sourcing project team will now focus their engagement with formal and informal workers across the value chain. During this phase, the project team may uncover additional pre-existing efforts that can serve as a foundation. These efforts should be acknowledged, and collaboration with those responsible should be considered to prevent redundancies. This may include:
- Previously completed baseline assessments with a similar dataset that can be leveraged;
- Key actors involved in existing efforts across the selected value chain to support aggregators and waste sector workers; and
- NGOs or waste pickers’ associations that may have already established some support for workers to address key human rights and responsible sourcing challenges.
Tools and Methods
Sample Size Development
The first step in the Assess phase is to develop a credible and realistic sample size for the assessment of the recycling company’s value chain. Given the informal nature of the value chain, it is probable that the recycling company will not have information on every business and informal waste worker in the value chain.
Additionally, there are complexities in the value chain that need to be considered when setting the sample size, including but not limited to the recycling company’s relationship with its suppliers, existing support for workers, and legal regulations that may prohibit progress. Therefore, the traditional method of setting a sample can be adjusted to accommodate these factors and more, and to ensure that the baselines assessment process adds value to the relationships among key actors across the value chain.
Objectives
- Identify factors that might affect the sample size;
- Develop a credible sample size for the assessment of the recycling company’s value chain; and
- Engage with all tiers, businesses, and workers in the value chain that represent a diverse range of business models, working conditions, and the majority of the material volume.
Steps
Review the Value Chain Baseline Assessment Preparation Documents
Gather and review all information from the previous step to provide the team with a solid understanding of the value chain and the known characteristics of the people working within it.
Set the Sample Size for the Value Chain Baseline Assessment
Review the known layers, size, and scope of the value chain, including the number of suppliers at each tier, and take into consideration existing relationships, representation, and potential future growth of the value chain to determine the sample size and establish requirements for the baseline assessment.
Value Chain Baseline Assessment and Root Cause Analysis
The focus of the Assess phase is to establish a baseline against the Harmonized Framework indicators. This baseline provides the data to set key performance indicators and to track progress over time. It also provides the space for key actors across the value chain to discuss how they align with Harmonized Framework indicators, to identify what they might already be doing to address them, and to coordinate efforts to achieve progress that builds on existing assets.
This step may take 6 to 12 weeks to complete, from training the data team to conduct the assessment, analyzing data, and root cause analysis.
Objectives
- Establish a baseline as per the Harmonized Framework indicators along with a root cause analysis for the challenges identified;
- Validate findings and address information gaps revealed during the baseline assessment; and
- Engage with business owners and workers participating in the baseline assessment to build trust and relationships that support the ongoing improvement process.
Steps
Customize the Value Chain Baseline Assessment
Review and adjust the value chain baseline assessment template according to the information gathered during the preparation activity.
Conduct the Value Chain Baseline Assessment
Conduct the value chain baseline assessment by engaging the determined sample size of key actors across the value chain, ensuring adequate representation. This activity will require the customized version of the value chain baseline assessment completed earlier.
Analyze the Assessment Data and Complete the Root Cause Analysis
Review the assessment data, analyze the findings, identify the root causes of challenges, and develop insights.
Baseline Assessment Findings and Feedback
The final step in the Assess phase is to share the assessment findings with your responsible sourcing project team, value chain business owners, and formal and informal sector workers who participated in the assessment to gather feedback, include any additional context, and develop solutions. Ideally, this step should be completed at an in-person workshop to facilitate open conversations and continued relationship building. Once feedback is incorporated, the project team should present the data and insights to all other relevant partners and stakeholders.
Objectives
- Inform your responsible sourcing project team, participating value chain business owners, formal and informal sector workers, and partners on the baseline findings;
- Uncover any inconsistencies or data that requires further investigation, and discuss the findings to align the collective knowledge base of the value chain; and
- Discuss possible solutions and prioritize action items.
Steps
Draft the Baseline Assessment Report
Complete the baseline assessment report utilizing the report template.
Present the Baseline Assessment Findings to Key Stakeholders
Present the findings and gather feedback to supplement the final report and draft solutions.
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