BRIEFING NOTE 4 - MONITOR
Monitor and evaluate the effectiveness of implemented actions to address human rights issues
Contents
IIIIIIII 1 Concept of Monitoring
IIIIIIII 2 Developing indicators
IIIIIIII 3 Implementation of monitoring
IIIIIIII 4 Review of action plans and indicators
IIIIIIII 5 Considerations about vulnerable groups
IIIIIIII 6 Challenges and recommendations
IIIIIIII 7 Checklist
IIIIIIII 8 Library of Tools
Objective of the briefing note
This briefing note provides information on how to monitor the progress and effectiveness of actions to address human rights risks and impacts in own operations and the supply chain. It offers guidance on how to define key performance indicators and select appropriate data collection methods. It also outlines how to implement monitoring and reflect on the results to update the action plan
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Concept of Monitoring
Monitoring involves reviewing the activities implemented to prevent, mitigate, and remedy the risks and impacts identified, and verifying that these activities have been effective. This process is crucial for supporting internal decision-making and providing transparency to stakeholders.
Monitoring relies on appropriate qualitative and quantitative indicators. Ideally, it includes consultations with stakeholders who are affected or at-risk, including them in the process of co-development of the indicators.
A. Differences between monitoring implementation, progress, and impact
Monitoring implementation means monitoring whether the actions are actually taking place within the agreed timetable.
Example: Out of the total number of actions defined in the action plan, how many have been implemented?Monitoring the progress involves tracking each action is progressing towards achieving the defined goal through quantitative and qualitative indicators.
Example: If the goal is to train all workers in the correct use of PPE in a given year, monitoring progress could be the percentage of workers trained, preferably broken down by gender, type of contract (temporary/permanent), and by other vulnerability characteristics (state/region of origin).Monitoring the impact aims to understand whether the actions taken were the right ones and therefore produced the desired result.
Example: Halving the number of workplace accidents in a given year.
Therefore, before defining indicators, it is important to answer the question: what is the desired end result (impact), the change, that you want to achieve with this action?
Monitoring effectiveness involves developing progress and impact indicators (as per points 2 and 3 above). An action is only truly effective when it adequately addresses the root cause(s) of a given problem. Otherwise, it can be said that the outlined action was not effective in addressing the root cause(s) and the methodology needs to be re-evaluated.
ATTENTION - Effectiveness is the ultimate goal. Companies should focus on monitoring effectiveness (progress + impact) to ensure that an identified impact is addressed correctly and does not become recurrent. Addressing one-off issues can lead to a never-ending cycle of dealing with the same impact multiple times.
B. Indicator levels
Here is an example to illustrate the different levels for monitoring an action and its impacts.
Problem: A mill identifies a problem with the kidney health of sugarcane cutters.
Cause: Various actions can be taken depending on the root causes. In this example, it is assumed that the health problem is due to a lack of water, shade, and rest for the workers.
Desired impact: Sugarcane cutters do not suffer from chronic kidney disease.
List of agreed actions:
1. Provide thermos bottles for storing water and accessible drinking water supply points.
2. Provide a tent or something that provides shade for resting.
3. Educate workers about the importance of hydration and rest.
Monitoring:
1. Monitoring the implementation of actions: this means monitoring whether the actions are actually taking place within the agreed deadlines. For example, only two activities out of three have been implemented, while the third activity has been delayed.
2. Monitoring the progress of the actions towards achieving the objective: In this case, the following indicators could be used:
What percentage of field workers have been given thermos water bottles (gather information disaggregated by gender, country/region of origin, etc.)?
How many shade and supply points are available?
What is the accessibility to these points: are they close enough for workers to walk to; is there a means of transportation available to take them to the rest areas during breaks?
3. Impact Monitoring: aims to understand whether the actions have achieved the desired result, whether the main problem has really been addressed, in this case, the health of the cutters. This would involve monitoring (usually longer-term) the health before and after the action, for example, by assessing whether kidney health problems or cases of sunstroke cutters have decreased. To this end, it would probably be necessary to partner with a research institute or hire a medical team to support the monitoring of the workers' health.
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Developing indicators
Key Performance Indicators (KPIs) are used for communication and necessary internal adaptations. They should be aligned with internationally recognized standards and laws, ensuring consistency with other initiatives, and reinforcing the credibility of the company's approach. In addition, there are guidelines to ensure that they can be objectively quantified whenever possible, summarized with the acronym SMART:
KPI SMART – specific (S), measurable (M), achievable (A), relevant (R) and timebound (T)
Examples of KPIs that can be monitored to evaluate the progress and effectiveness of the impact resolution process:
ATTENTION - Developing indicators is a process that requires training and practice. Whether an indicator is relevant or achievable is somewhat of a subjective assessment, which tends to improve the more it is carried out. Whether an indicator is specific enough also depends on who is assessing it, but in general the rule is not to have too long or too short a description of the indicator.
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Implementation of monitoring
For each indicator, the following are identified:
A clear and concise description of what it seeks to address and where it aims to go, as well as justifying its need and usefulness.
Definition of responsibilities as to who will collect and store the necessary information, analyse it, and produce the KPIs. Those responsible need to be trained in data collection and processing.
The frequency of monitoring.
The sources of information and collection methods that will be used for a specific indicator, stating what will be measured and how. Possible tools for data collection are: questionnaires, interviews, desk research, participatory consultations, company records, grievance mechanisms, and internal audit reports, among others. Each tool requires specific care in its implementation, designed to protect workers and at the same time obtain disaggregated information for relevant groups of actors.
It is important to define how these indicators will influence decision-making, provide transparency, and determine accountability for progress or lack thereof. In addition, confidentiality must be guaranteed for sensitive information. You can take advantage of existing monitoring processes when it makes sense, as long as what is currently monitored does not unduly influence the goals set and the design of the indicators.
Effective impact measurement, once the end result has been defined, begins before an action is implemented by defining its "baseline". It is recommended to determine beforehand what the starting point is and how success will be measured, what kind of data will be needed to measure it and how this data will be obtained. These measures are an integral part of the preparation of any action.
It is suggested that the mill use existing supplier engagement mechanisms, such as technical visits, on-site inspections, and periodic meetings, to monitor the implementation and effectiveness of actions with their suppliers. For more complex and systemic issues, it is recommended to work with groups of suppliers, companies and other relevant actors in the
sector to develop more effective mechanisms for monitoring impacts on people within the supply base.
Furthermore, when workers - and trade unions - are informed of their rights and are given the space to exercise those rights at work, they act as collaborators in the monitoring itself, improving the effectiveness of risk prevention and mitigation actions.
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Review of action plans and indicators
The indicators should be reviewed periodically in order to identify whether they are addressing the impact effectively. If not, it is necessary to investigate whether there are other root causes not yet identified or whether another type of action is needed.
Stakeholder engagement and social participation in the due diligence process, including affected or at-risk actors, can bring valuable contributions to the monitoring process that cannot be captured through existing data collection methods. It is important to assess where consultation is needed with rights holders, human rights defenders, local communities, civil society, labour unions, among others. It is recommended to include stakeholders in the process of co-developing action plans and monitoring, including the stages of defining action plans and respective indicators and reflections on learning and continuous improvement. This measure contributes to increasing the quality of monitoring since stakeholders who are part of the context in which the impact was identified can indicate different ways or contexts that help to design a more effective, efficient, and integrated due diligence process.
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Considerations about vulnerable groups
During monitoring, as in the other stages of Due Diligence, it is important to consider and include in the process actors who are invisible or in a situation of vulnerability in agricultural production and processing. It is recommended to monitor the progress of actions with the adoption of disaggregated and diversity-sensitive indicators in order to increase the visibility of these groups.
In addition, in stakeholder engagement, special attention must be paid to these groups, promoting a listening space that enables their participation, since discrimination against these groups is a common practice and can exacerbate human rights problems. Here are some examples of disaggregated KPIs:
Ratio of women in relation to the total number of managers
% of migrant workers with an adequate level of knowledge about their labour rights and benefits, communicated in their native language and in an understandable way
% of women from indigenous and traditional communities involved in consultation processes on the risks and human rights impacts of the company's operations
The collection of disaggregated data means that vulnerable or invisible actors are being considered in the analysis of the data to try to understand and address the root causes of possible gender disparities or other issues that the data reveals.
To illustrate this point, here follows an example: suppose the target is 80% of rural workers demonstrating an increase in knowledge about health and safety in the field after training offered by the mill. Of the 100 workers taking part, 81 demonstrated an increase in knowledge. However, of the 19 who did not demonstrate an increase in knowledge, 15 are immigrant workers. This is because the training was conducted in a language that the immigrant workers do not fully understand. So, in theory, the target was achieved, but not effectively, since this type of monitoring somewhat disregards an important group of actors, who are more likely to continue using PPE incorrectly and with potential harm to their health. To avoid similar cases, it is recommended to define disaggregated indicators for relevant vulnerable groups.
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Challenges and recommendations
Limited resources for monitoring
Monitoring is often not treated as an integral part of the action plan and therefore does not have sufficient budget to ensure that it is carried out properly. It is important to ensure sufficient resources and personnel for the monitoring process, as tracking the implementation of actions and their effectiveness will inform the need to revise or continue the implementation of specific actions or to map out future actions.
In cases of limited resources (financial, personnel or other) for implementation and monitoring, the prioritization of key performance indicators focused on effectiveness is fundamental, since these contribute to adjusting and improving the effectiveness of actions, promoting better use of allocated resources. Monitoring the implementation of the action plan can be more attractive because it is simpler than evaluating progress and the desired impact.
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Checklist
✓ Has the company allocated sufficient time and resources for monitoring?
✓ Has the company assigned responsibility for each action/indicator and provided adequate training for those responsible for monitoring?
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✓Has the company defined SMART progress and impact indicators?
✓Has the company defined the desired end result (impact)?
✓Have the indicators to be monitored been prioritized to ensure efficient use of resources?
✓Has the company defined achievable and timebound targets?
✓Has the company defined the monitoring methods, frequency, and sources of information needed per KPI?
✓ Has the company considered the need for disaggregated KPIs to improve the visibility of vulnerable groups?
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Library of Tools
In this section, you will find some tools that can help you in the HRDD monitoring process.
NEXT – Briefing Note 5, Communicate, will address the process of communicating to stakeholders about the human rights impacts identified and the progress in addressing them.
Ethos Indicators – Ethos Institute: a tool from the Ethos Institute that allows for the planning and management of targets for incorporating sustainability and corporate social responsibility (CSR) into the company's business strategies.
Gender equality and the right to health: guidelines for companies - DFPA: a guide from the Danish Family Planning Associations (DFPA) which provides an elaborate list of KPIs disaggregated by gender.
Indicator Design Tool - Shift: a tool for companies and other stakeholders that helps, in a simple way, to develop goals and indicators focused on improvements for people.