BASELINE SURVEY FOR THE FAIR RECYCLING PROJECT

1.Background and Project Information

Kenya’s plastic pollution problem reflects the global concern of detrimental impacts on the environment and human health. A study by the Danish Environmental Protection Agency in 2018 showed that Kenya produces an estimated 500,000 tonnes of plastic per year of which 52% is comprised of plastic packaging (260,000 tonnes). Of these approximately 39,000 tonnes (15%) are recycled annually in the Country while the rest are discarded into the environment or repurposed. Nairobi County generates over 2,400 tons of garbage per day projected to be 3,200 tons per day by the year 2022, of which 68 % is domestic. Daily collection is currently between 1,100-1,500 tonnes per day meaning only about 60% of generated waste ends up at the final disposal. Approximately 10% of the generated waste is recycled with the rest ending up in rivers and other undesignated places. Electronic and Hazardous waste though not the mandate of the county environment sector has of recent also found its way to Dandora dumpsite. There are three main actors involved in waste collection and transportation. These include the County’s fleet, hired contractors, and the Private Service Providers (PSPs). The CBOs and youth groups (including the waste pickers) are also involved but in a lower capacity.

One of the major challenges in Kenya’s waste and recycling sector is that the bulk of urban waste is either not collected and recycled at all or collected by waste pickers who exist on the fringes of urban societies. They are perceived as outcasts and live a life of abject poverty without any options to escape their situation. Waste pickers in Kenya do their work without basic skills and tools, must contend with unfair, untransparent prices and are frequently excluded from social, financial and health care services.

Kenya hosts around 512,000 (registered) refugees (UNHCR), of which 84% reside in the two biggest camps, Dadaab (224,000 people) and Kakuma (206,000 people). Another 80,000 registered refugees reside in urban areas, of which a large part live in Nairobi where the Fair Recycling project has its geographic starting point. Refugees, in general, face substantial barriers to access employment opportunities. Even if those residing in urban areas like Nairobi count on comparatively higher employment rates, they are for the most part unable to earn a (fair) predictable income and also lack access to basic services.

The low income of waste pickers and the (plastic) waste challenge in refugee hosting areas are closely connected. Both are a result of the same underlying challenge: low value-chain efficiency, limited value-addition and limited formal organisation by waste collectors and value chain stakeholders. Many waste pickers and collection companies operate in a fully informal and unpredictable market. Because there are no formal supply relationships within major parts of the value chain, waste pickers are not incentivized to collect high quality plastics. Many Kenyan processors can only create low-quality plastic flakes used for low-cost items, resulting in low margins. Limited value addition and a lack of organisation leads to low and unpredictable income for waste pickers, as social and financial security nets are non-existent.

To contribute towards integration of informal and marginalized waste pickers (including refugee-communities) in a formalised plastics recycling value chain, Danish Refugee Council (DRC) together with, Mr Green Africa (MGA) and Unilever (UL), have designed the Fair Recycling project. The project is a direct response to realize the potential to create green jobs based on a sustainable business model, which will contribute to inclusive economic growth that builds on environmental, social and economic sustainability. A partnership-driven, inclusive business model has been developed and will be implemented to improve the lives of the most vulnerable segments of the Kenyan society including refugees and to reduce environmental challenges related to plastic waste in a financially sustainable way. The project will be implemented in Nairobi and immediate surrounding refugee and host communities’ counties (based on an operational and target area mapping exercise by project partners).

The expected goal and outcomes are outlined in the table below:

Project Goal

To improve lives of waste pickers in Kenya and reduce the country’s environmental challenges with respect to plastic waste in a financially sustainable way.

Goal Indicator 1

Employment (decent jobs) for women, men and youth

· Total number of decent jobs created through the project disaggregated by women and youth (<25 years)

Goal Indicator 2

No. of beneficiaries with increased income opportunities from improved market linkages

· Total number of beneficiaries reporting increased income through participation in the project disaggregated by women and youth(<25 years)

· % change in average income at end line compared to baseline

Goal Indicator 3

Viability of the project’s business case (long-term sustainability)

# of new geographical locations implementing project interventions i.e where the project model has been expanded to.

Goal Indicator 4

Awareness of responsible business conduct and capacity to work with Responsible Business Conduct in the partnerships

Number of stakeholders/partners/business entities in the plastic recycling value chain with increased capacity to implement Responsible Business Conduct guidelines

Goal Indicator 5

Investment leverage (additional capital raised)

Project Outcome 1

Sufficient local demand and capacity available to absorb the plastic waste collected during the project

Outcome Indicator 1

# tonnes of collected post consumer recycled (PCR) plastics is absorbed by the value chain over a 3-year period

Project Outcome 2

Waste pickers (including refugee communities) have increased and more stable income opportunities within an inclusive and formalized value chain

Outcome Indicator 2

$/Ksh paid to waste pickers directly and indirectly (via third parties)

Project Outcome 3

Access to socio economic benefits increases the quality of life of waste pickers

Outcome Indicator 3

# Waste pickers that have upgraded to Collector Agents (Tier 3)

Project Outcome 4

Waste pickers feel safer, more secure and experience less stigmatization within the value chain

Outcome Indicator 4

% of integrated waste pickers feel supported and would recommend joining the program

2. The Baseline Study **

The baseline is a combination of an impact and outcome assessment. The findings will be the basis for assessing effects of project interventions on the target population at end-line. In addition, the baseline study is also expected to assess project output indicators that are detailed in the project proposal**.** The baseline is therefore aimed at establishing baseline values for goal, outcome and output indicators.

I. Objectives of the Baseline study

The overall objective of the study is to establish baseline values for key project indicators (impact, outcomes and outputs). Where possible, the values should be compared with national/standard averages. The baseline values will be used to monitor and assess progress and effectiveness of the project during implementation and after the completion of the project.

The specific objectives of the baseline study are as follows:

o To establish the current socio-economic status of targeted refugee and host community populations in the project target locations, including demographics;

o To provide analysis on Minimum Wage and Living Wage levels for target communities in order to provide the project with clear targets to reach for Goal Indicator 1;

o To provide an analysis of the current legal, policy and regulatory environment in relation to plastic waste value chains and its potential impact on the project;

o To identify socio-cultural knowledge, attitudes, beliefs and practices that act as barriers and facilitators to the participation in plastic and other waste collection in the project target location;

o To provide an analysis of the waste economy in the target locations. The waste economy analysis should include waste picker dynamics, current incentives to become a waste picker, (additional) income streams and risks;

o To conduct conflict sensitivity analysis to understand the political economy around waste collection in the project target locations. This will include analysis of risks of conflict between existing waste pickers and new waste pickers (including refugees) and mitigation measures;

o To conduct analysis on the causes and consequences of children engaged in child labour in the plastic waste value chain, including household earnings and debt, perceptions of parents/ guardians/ children, and the hazards and abuses faced by children at their work;

o To establish a reference point for specific project indicators and where appropriate / necessary, recommend adjustments for project targets based on the baseline findings.

Ii. Scope of Baseline Study

The study is expected to be completed within a maximum period of 30 days (April/May 2022) from signing the contract with the successful bidder.

The analysis should be done within the existing national legal, policy and regulatory frameworks, and the methodology should adequately address all of the different circumstances and target groups in the project location. The sampled population should represent men (including youth. For this project youth will be considered as persons 25 years and below) and women of different age groups and communities. Data should be collected in a way that allows it to be integrated into Mr Green Africa’s existing online database and disaggregated by gender and age. The baseline should ensure to assess both refugee and host community targets groups and include a variety of important social groups such as the poor, girls, persons with disabilities, the elderly, and other minority groups, etc.

Iii. Baseline Methodology

The baseline study methodology will be further developed by the consultant(s) and should be well articulated in the response to the ToR. The methodology should demonstrate robustness and rigour in addressing the baseline objectives. The methodology proposed by the successful consultant shall be discussed, finalized and approved by DRC MEAL Officer/Manager with input from the rest of the program team and consortium partners, before commencing data collection as part of the quality assurance process.

It is however expected that the methodology will apply a mixed-methods approach including both qualitative and quantitative components. The proposal should clearly clarify how quantitative data will be collected and what tools will be used. Gender aspects and adaptation of study to meet COVID-19 control regulations should be well stipulated. The consultant will aim to provide an expanded analytical framework as part of the desk review.

Iv. Baseline Study Audience and Intended use

The baseline report primary intended users include the DRC Kenya, MGA, and Unilever.

o The baseline will provide a benchmark for performance measurement for the project, and allow the Fair Recycling project to track progress towards achievement of expected goals and outcomes;

o The baseline findings will also inform any adjustments to the log frame to ensure that proposed indicators are relevant and appropriate for measuring expected results;

o Baseline findings will complement other inception phase assessments (needs assessment) that will inform the implementation phase of the project including potential adaptation or re-design of interventions to meet the needs of the targeted beneficiaries.

3. Key deliverables

i. Baseline inception report (describing):

o A detailed methodology on how the information for the specific objectives will be collected and analyzed. The conceptual framework should be included as part of the methodology.

o A detailed sampling framework for location, respondents and relevant documents for review. Due consideration of adaptation due to COVID-19 measures and data protection/confidentiality principles should be applied.

o A detail plan of action on quality control measures to be applied.

o First draft of the data collection tools.

o Detailed workplan and indicative workload with corresponding number of days for each deliverable/or item.

o Presentation on the methodology, sampling, data collection tools and plan of action to Project partners (DRC, MGA, and Unilever).

ii. Draft Report for review by DRC and project partners.

iii. Validation of findings workshop-presentation of key findings and recommendations to DRC and project partners for validation.

iv. Final Report: A comprehensive Baseline report that highlights the findings by objectives and practical recommendations (incorporating feedback from partners and key stakeholders).

v. Annexes including:

· Baseline datasets (raw data, easily integrate-able into MGA’s existing database, photos, etc.)

· Validation workshop presentation

Output of statistical analysis of quantitative results Content analysis or other analytical output of the qualitative data, including key themes identified and frequencies of those themes

Approval of the inception report and final report by DRC and partners will be the basis for issuing the initial and final payment.

4. Roles and responsibilities of consultant

The consultant is expected to conduct the baseline study to the required standards. They will be expected to lead in the day-to-day management of the baseline activities, including coordinating field level data collection, analysis and report write up. The consultant is expected to regularly consult and inform consortium partners.

The general responsibilities are:

· Review of program documents and preparation of inception report and data collection tools for review and feedback

· Review of existing secondary literature to inform the development of conceptual framework and data collection tools

· Develop the baseline data collection schedule and select respondents to participate in interviews

· Select and Lead training of data enumerators

· Conduct baseline data collection

· Perform data quality checks to ensure accuracy, validity and integrity of data collected

· Conduct data cleaning, processing and analysis

· Prepare and submit a draft baseline report and other products for review and feedback

· Validate findings with DRC and project partners i.e., preliminary Presentation of Report

· Submit final baseline report and annexes

5. Roles and Responsibilities for DRC and project partners

· Provide the required project information to the consultant, these include project proposals and log frames and any type of research already performed on the target groups

· Provide technical review of inception reports and (data collection) tools and quantitative data formats including clarifying DMDP definitions and indicators with focus on decent jobs and income opportunities

· Approval of inception reports, tools, quantitative data formats and data collection schedule

· Mobilization of relevant community level stakeholders to participate in interviews

· Participation in the data collection as informants where applicable

· Technical review and providing comments on draft report

· Mobilization of stakeholders to participate in validation workshop

· Approval of final report and annexes

6. Expected profile of baseline consultant (s)

The desired specification and qualities of the consultant(s) are:

o The consultancy firm / individual consultant is registered under the Kenyan law;

o At least 5 years of experience in conducting baselines/evaluations, with proven track record in conducting a related assessment in plastic value chains/recycling;

o Working experience in the Baseline location of Nairobi is an added advantage;

o Advanced degree in development, economics, waste management, recycling, environmental assessments, or related fields, with extensive experience in research and evaluations and/or managing projects in these fields;

o Experience in conducting conflict sensitive analysis and child labour research;

o Proven experience of using participatory methods for data collection and analysis;

o Excellent spoken and written communication skills in English and Kiswahili. Knowledge of any Refugee community languages (e.g. Somali, Oromo, Kinyarwanda, French or Congolese language of the local communities) is an asset;

o Excellent skills and ability to articulate ideas in a clear and accurate manner including the ability to prepare reports;

o Good data analysis, presentation and visualization skills;

o Strong interpersonal skills, analytical skills and ability to establish and maintain effective working relations.

5. Terms and Conditions

o Applications must be in English;

o The consultant has relevant equipment & tools to conduct the baseline study;

o The consultant shall not assign this contract or subcontract any portion of it without DRC’s prior written consent;

o Any documentary materials that will be produced during this study belong to the Fair Recycling project, and the consultant may be allowed to keep a copy.

6. Data Protection and Confidentiality

While executing this assignment, the consultant and all the parties involved shall ensure effective protection of confidential and sensitive data and information in conformity with the humanitarian and protection principles and to applicable legal data protection standards[1]. All data collection and processing activities shall be executed in accordance with the following principles:

o Safeguarding individuals’ personal data is a crucial part of the humanitarian mission to protect the lives, integrity and dignity of beneficiaries and participants and is fundamental in the provision of protection response and humanitarian aid.

o People-centred and inclusive: Baseline study activities will respect the interests and well-being of the population in all relevant phases of the assignment and must be sensitive to age, gender, PLWD, and other issues of diversity.

o Do No Harm: Baseline study activities must include a risk assessment and take steps, if necessary, to mitigate identified risks. The risk assessment must look at negative consequences that may result from data collection and subsequent actions.

o Defined purpose and proportionality: The purpose must be clearly defined and explained to the participants in the data collection process.

o Informed consent and confidentiality: Personal information may be collected only after informed consent has been provided by the individual in question and that individual must be aware of the purpose of the collection. Further, confidentiality must be clearly explained to the individual before the information may be collected. Consent must be genuine, based on the data subject’s voluntary and informed decision.

o Data protection and security: The baseline study process must adhere to international standards of data protection and data security.

o Competency and capacity: Actors engaging in this baseline are accountable for ensuring that study activities are carried out by a competent team who have been trained appropriately.

o Impartiality: All steps of the baseline cycle must be undertaken in an objective, impartial, and transparent manner while identifying and minimizing bias.

[1]ICRC Handbook for Data Protection in Humanitarian Action, UNHCR’s Policy on the Protection of Personal Data of Persons of Concern, DRC’s Operational Handbook regarding data security and management of hardware, Protection Information Management Principles and the European Union General Data Protection Regulation (GDPR).