Key issues and principles of sustainable MSWM [Module 4] Key issues and principles of sustainable MSWM

Can it be framed around technology only? How do you manage a solid waste management system? Can it be framed around technology only? For whom is the waste managed? How can conflicting ideas and claims be dealt with Who is responsible for planning the system and creating it? Who operates it? Who maintains it? Who pays for it? Who uses it? Who owns it? Nowadays we have to ask other important questions – Which ones ?

How do you manage a solid waste management system? Planning Management Using best practice examples to promote solutions Inclusion of stakeholders Compile a personal work plan Financing Prepare a report on the outcomes of the training Institutional framework

Strategic planning of integrated MSWM Strategic planning is a systematic process of envisioning a desired future, and translating this vision into broadly defined goals or objectives, and a sequence of steps to achieve them.

Stakeholder participation Strategic planning of integrated MSWM – the process stakeholder - consensus building Integrate strategic aspects 1. Mobilise the planning process Integrate functional elements Governance and institutional framework 2. Define baseline Financial sustainability 3. Establish strategic planning framework Delegation / Regional approach Technology options 4. Identify and evaluate options Stakeholder participation Capacity building 5. Develop strategy Awareness generation & behavioural change 6. Prepare action plan update 7. Implement the strategic plan

Implementation strategy Planning of integrated MSWM – Understand the context http://origin-ars.els-cdn.com/content/image/1-s2.0-S0956053X13000032-gr2.jpg and Plan Content of the plan Framework & context Strategy for collection, storage and transportation Strategy for treatment and disposal Strategy for waste reduction Institutional and organizational setup Strategy for financing and cost recovery Strategy for building public awareness and education Framework conditions Local conditions Local objectives Technical options Implementation strategy

City Sanitation Task Force Planning of integrated MSWM – City Sanitation Task Force as responsible body Agencies directly responsible Who is involved? Repres. from educational and cultural sector Agencies indirectly involved Repres. from formal and informal companies Re-pres. from civil society / communities City Sanitation Task Force Repres. from Unions Eminent individuals and practicioners NGOs working in relevant sectors Repres. from private sector Repres. of higher levels of Govt.

City Sanitation Task Force e.g. Municipal Corporation Planning of integrated MSWM – City Sanitation Task Force as responsible body Launching MSWM Campaign Responsible for Recommend permanent respon-sibilities Generating awareness City Sanitation Task Force Overall guidance to implementing agency Approval of project documents and reports e.g. Municipal Corporation Communi-cation of progress Approving the MSWM-Plan Field visits to supervise progress

Waste quantifi-cation Planning of transfer stations Exemplary planning issues Waste quantifi-cation Regional apporach Planning of transfer stations

Quantification of waste Why? Input for assessment of required capacities and services http://www.iswa2012.org/wp-content/uploads/2012/03/garbage-india.jpg What? Amount of waste generated within the municipality (per type / per day / per year) Spatial distribution of waste generated Composition of waste generated How? Rough estimation as per average waste production and composition as a function of city and ward size Identification and location of generators of specific wastes or bulk waste (commerce, institutions, hotels, restaurants, etc.) Application of specific methods as described in MoUD technical manuals

Quantification of waste

Regional approach What Is Regionalization ? Regionalization refers to bundling of the waste disposal needs of several towns/cities and tackling the problem of all of them through creation of one regional facility A partnership between Urban Local Bodies

Optimization of waste transfer – best practice example Status quo 70 square kilometres city area; 1000 tonnes of waste per day; landfill 40km east of the city; severe traffic congestions in the city restricting the hours of collection. 125 trucks (plus standby vehicles), 125 drivers and 500 loaders. vehicle costs: 8,750,000 $ total staff: 625 Option 1: Large transfer station Collection system requires: 63 collection vehicles (plus standby vehicles), 63 drivers and 250 loaders. Transfer system requires: 22 trucks, (plus standby vehicles), 22 drivers and 22 drivers’ assistants vehicle costs: 6,230,000 $ total staff: 379 Source: Solid Waste Management in the World’s Cities, UN-Habitat (2010), page 90

Optimization of waste transfer – best practice example Option 2: 12 small transfer stations Each SRS requires collection system: 12 handcarts and tricycles collect 8 tonnes per day within a 0.5km radius of the STS (one crew). 8 three-wheelers (1.5-cubic-metre Tuctucs) collect 40 tonnes per day within a 1.5km radius (one crew). 5 3-cubic-metre tipping trucks collect 40 tonnes per day within a 3km radius (two crews) (each of the above vehicles will require backup vehicles to allow for breakdowns) Transfer vehicles for 12 STS requires: Transfer vehicles: 12 work two shifts with 24 drivers and 24 assistants. Handcarts and tricycles: 12 X 12 = 144 with 144 loaders. Three-wheelers: 12 X 8 = 96 with 96 unskilled driver/loaders. Small tippers: 60 with 60 drivers and 60 loaders. Total labour requirements: 84 drivers and 324 unskilled workers. Total requirements vehicle costs: 3,088,000 $ total staff: 372

Joint Treatment Facility Joint Disposal Facility Regional approach Municipality A Collection Municipality B Municipality C Municipality D Joint Treatment Facility Joint Disposal Facility Joint Transportation Why? Treatment and disposal exceed technical and financial capacities No land available Economy of scale more attractive for private sector Framework Organisational set-up Delegation of responsibility Partners ensure efficiency jointly Reliable and sound cost sharing Sanctity of contracts Lead by State Government Lead by Authority Competitive biding of Private Partners Each ULB has responsibility for its part

Regional approach Advantages more efficient use of land higher efficiency of costs

Efficient use of land Figure showing landfill area (plan) local landfill 3 Acre local landfill Height of landfill up to bund is 1.5 m above bund is 3 m excavation depth is 1.1 m 11 Acre regional landfill waste going to landfill is 20 tpd landfill is designed for 3 years regional landfill Height of landfill up to bund is 1.5 m above bund is 15 m excavation depth is 1.1 m Waste going to landfill is 200 tpd landfill is designed for 3 years four times the area can dispose 10 times amount of waste !

Operation and maintenance Cost efficiency in INR per ton of waste Site development Construction Equipment Operation and maintenance local landfill 20 tpd Rs. 39.83 / ton Rs. 579.00 /ton Rs. 188.00 / ton regional landfill 200 tpd Rs. 4.06 / ton Rs. 135.00 / ton Rs. 25.34 / ton cost efficiency 20 tpd landfill is 9.8 times costlier 20 tpd landfill is 4.3 times costlier 20 tpd landfill is 7.4 times costlier 20 tpd landfill is 4.0 times costlier Factors determining O & M cost : Number of equipments Utilisation of equipments Manpower Consumables Return of capital

Management - General orientation / basic idea The municipal authorities should make concerted efforts to inculcate among their officers and staff a sense of pride in the work they do, and to motivate them to do their best to improve the level of services in the city and the image of the municipal administration.

Management key questions Discuss in group: Management key questions Who or what guides you? How do you adapt your work to changing conditions? Do you evaluate the achievements? Do you communicate achievements and needs to upper and lower levels? Management principles / tools leadership framework / rules of conduct communication / information flow follow-up adjustment / intervention / decision Capacity Development / Human Resource Development Leadership involves establishing a clear vision, sharing that vision with others so that they will follow willingly, providing the information, knowledge and methods to realize that vision, and coordinating and balancing the conflicting interests of all members and stakeholders.

Management - elements Levels of management The circular model of management Data management Monitoring and improvement of performance

Is there something to be added? Upper Management Middle Management Lower Management strategy goals, policy decisions framework for MSWM overall annual planning overall monitoring formation city sanitation task force technical supervision, monitoring operations guidance operations quality control operations supervision of strategy & plan implementation specific annual planning responsibility for service contracts stakeholder management working counterpart city sanitation task force implementation and supervision of day-to-day operations / services guidance and human resource development monitoring of contractors complaints redress maintenance infrastructure and equipment reporting Mayor, President Commissioners, Chief Officers Health Officers, Engineers Sanitary inspectors and supervisors Management tasks Is there something to be added?

Management of Municipal Solid Waste Citizens are responsible for Proper segregation of wastes at source Avoid littering of streets; Delivery of wastes Municipality is responsible for: Waste management from collection to disposal Sensitization of citizens for 3R and overall waste management; : http://www.cmar.csiro.au/research/mse/images/adaptive_cycle.gif What is Management ? The Management Cycle

Information and data management There is a common rule in management: ‘If you want to manage, measure’! Why? You have to know what is happening at any time You need to recognize and address deficiencies You need to have an idea on future requirements You must be able to answer questions of stakeholders and supervisors

Data Collection Storage Processing Information and data management - basics Data clearly define data to be collected regularlaly define basic data to be collected in any case define add on data define data formats Collection standardized method regular intervals check reliability follow-up and supervise Storage ensure accessibility ensure standardized storage ensure regular updating consider IT solutions Processing consider IT solutions follow-up and supervise

Environmental monitoring Management Information System General City Wards Base line data Waste infrastructure Generation Storage Transport Treatment & disposal Management Financial aspects Staff positions Operation Collection Storage Transport Treatment & disposal Special services Bulk services Vehicle maintenance Environmental monitoring Supervision Complaints Cost recovery Penalties Legal matters

Monitoring and improvement of performance - Why SLBs are useful for ULBs? SLBs help to institutionalise performance management SLBs help ULBs to proof their performance as principal elected institution for city self-governance Benchmarking with other cities facilitates competitive environment for continuous improvement Performance data at sub-ULB level are useful for appropriate decisions Help local decision-makers identify gaps, plan and prioritise improvement measures Make it possible to link decision-making on financial allocations to service outcomes Provide framework that can underlie contracts/agreements with service providers Enhance accountability to customers for service delivery levels Enable identification and transfer of best practice

SLBs for MSWM Indicator Benchmark Household level coverage of solid waste management services 100% Efficiency of collection of municipal solid waste Extent of segregation of municipal solid waste Extent of municipal solid waste recovered 80% Extent of scientific disposal of municipal solid waste Efficiency in redressal of customer complaints Extent of cost recovery in SWM services Efficiency in collection of SWM charges 90%

Monitoring process

Participaton of informal sector Inclusion of stakeholders Participation Gender aspects of MSWM Participaton of informal sector

Inclusion of stakeholders – Why is it important? Solid waste management is a shared responsibility Participation creates ownership and means shared responsibility for the strategy and its joint undertaking Participants bring information for the strategy, ensuring that it is based on a common understanding of purpose, problems and solutions Participation is the most effective way of communicating information on which the strategy is based, its goals and tasks to be undertaken; Participation by stakeholder groups is critical for decision making. The result will be a realistic strategy with a broad base of knowledge, understanding and commitment from the groups involved

Inclusion of stakeholders – Where and when is it important? Implementation of the 3R approach Segregation at source and (secondary) storage of biodegradable / non-biodegradable wastes, recyclables etc. at source Community storage facilities and collection form there in flats, multi-storied buildings, societies, commercial complexes, institutions, etc. Door-to-door collection or collection via community bins, collection of recyclables, HHW, etc. Stop of public littering Introduction of user charges / fees, understanding need to pay for services; http://4.bp.blogspot.com/-7IwhuRXM-hI/UN-h-25BjgI/AAAAAAAB0XY/FXbI1neWl6U/s1600/SELF-SERVICE-BIN.jpg

Guiding principles Stakeholder participation Build confidence – take partners serious, ensure two way communication and collaboration, establish rules and respect norms, respect each other, don’t play games, respect other interests, and opinions Ensure to reach the community – ensure that all relevant stakeholders / actors are reached and included; make the project attractive; make added value visible; motivate reluctant parties to participate Involve stakeholders actively in problem identification and solution - involve partners in problem analysis, visioning, priority setting, solution identification, strategy development, implementation and monitoring; avoid the feeling of only being decoration Include stakeholders in implementation and success stories – make success in pilot projects visible to other areas, let the stakeholders participate in success stories Public Information, Education and Communication – ensure sufficient outreach and visibility, offer various measures to build the required awareness and capacities Guiding principles https://kce.fgov.be/sites/default/files/imagecache/content_page_image_doublecolumn/R_174.jpg

Functional participation Interactive participation Extent of participation Passive Only for incentives Consultations Functional participation Interactive participation Self Mobilization spectator no own initiative participate only if there is some kind of gain engagement only on particular topic not proactive answering questions proactive functional engagement supportive efforts ability to influence decisions suggest / demand for alternate options willingness to contribute resources highly empowered to take up activities decision making

Tools to organize and manage participation – stakeholder analysis stakeholder landscape analyse interests of stakeholders: are they in line with the project or controversial ? possible impacts of dissonances, differences in interests develop strategy for management of stakeholders according to their role / influence, interest and potential conflicts https://www.wbginvestmentclimate.org/toolkits/public-policy-toolkit/images/sample-stakeholder-matrix_1.JPG

Tools to organize and manage participation – how to deal with conflicts? Options to deal with conflicts: ignore live find options to achieve win-win situation Avoid: naivety neutral poses when you are not underestimating potential for violence to be the do-gooder to be the megaphone http://t1.gstatic.com/images?q=tbn:ANd9GcQhLbwVzBwBK7oViaKQEHvGNcTP9W39SIHm53RnvZi013JYhMhO

Tools to organize and manage participation - examples (1) Group meeting After an opening presentation, the group is broken into smaller groups to discuss an issue or complete a specific task. Summaries of small group discussions and an open comment period may follow. Focus group discussion Small discussion group led by a facilitator who draws out in-depth stakeholder input on specific questions. Normally, several focus groups are held, and participants can be chosen randomly or to approximate a subset of the community. Interview Face-to-face or telephone interaction with stakeholders conducted by the agency or by a third-party representative. Field trip Trip to specific location organized so that participants can match their mental images to real, on-the-ground conditions. Participants may be asked to express their reactions verbally or in writing.

Tools to organize and manage participation - examples (2) Open house Event in which the public is invited to drop in at any time during an announced period. Event includes staffed booths or stations on specific topics and may precede a public meeting. Public hearing Formal, single meeting where stakeholders present official statements and positions, and those ideas are recorded into a formal record for delivery to the agency. Poll or survey Written or oral lists of questions to solicit community impressions about issues at a specific moment in time. Polls and surveys can be administered in person, or via the telephone or Internet.

What are gender related key issues in MSWM? Gender aspects of MSWM Women and men look at waste from different perspectives. Recycling and reusing of wastes have critical gender dimensions: on generation side on recycling side What are gender related key issues in MSWM? Women and children are prime handlers of garbage in households Services and equipment are designed by men, with other priorities in mind Women and children are often more exposed to SW health hazards than men Women are key to improving SWM of family and community

Roles and responsibilities of women in waste management of households Gender aspects of MSWM Roles and responsibilities of women in waste management of households Women decide what is useful and what is waste, and handle the waste Women know the waste disposal places in their neighborhoods The boundary between household and community is a gender boundary: Waste collectors, as well as the city leadership, who are generally male, tend not to understand the interests and needs of women in relation to the collection of household waste, e.g.: They may complain when the waste is not set out properly, not taking into account that the women often cannot really leave their homes to put it in its proper place; Times for waste collection may not have been set with any attention to the schedules and responsibilities of the women who will bring the waste to be collected. Containers which are appropriate for storage in the home may not be acceptable to the collectors, etc. Storage bins may not be easy to handle for women

Gender aspects of MSWM Women as workers in waste management Services and equipment are designed by men Women workers are usually paid less Women entrepreneurs and workers are underprivileged, their access to credits is even worse than for men Lack of interest, political will or weak sense of importance in the community of decision makers to address issues of women workers in any cogent manner

can help to formalize informal activities Participation of informal sector - Social business collection, processing and sale of recyclables collection, processing and sale of biodegradable waste collection, processing and recycling of E-waste door-to-door collection of waste A Social Business addresses a social objective is a non-loss, non-dividend company is distinct from a non-profit because the business seeks to generate a modest profit profit will be used to expand the company’s reach, improve the product or service or to subsidize the social goal can help to formalize informal activities improves social security improves income can be a partner for the ULB requires entrepreneurs requires investment requires support

Public Private Partnership Financing Financing Public Private Partnership

Financing – priotization and optimization of costs and income Priority for obligatory services Define minimum level of services Check options for increase of income Review level of existing charges and fees Encourage delegation Review costs

Financing of investments Financing - implementation Financing of investments government schemes and subisidies international loans and funds Municipal bonds, financing from own sources PPP or other private financing regional MSWM to reduce costs O&M and capital cost recovery introduction and collection of charges and fees percentage of property tax alternative income sources (products, carbon credits …) private investment in O&M, institutional finance, loans Financial management controlling of project costs double entry accrual accounting system track costs of service provision

Public Private Partnership private body provides a public service or project makes an investment takes a risk guarantees a service in a specific quality and quantity expects revenue delegates a task keeps ultimate responsibility supports approval process ensures payment provides quality control and monitoring Private Partner Public Partner

PPP - process

PPP – Lessons learnt Importance of rigorous project preparation and capacity building Structuring focus on outcomes rather than inputs Clarity on land availability and certainty of meeting concessioning authority’s obligations Political commitment and policy continuity Effective communication and engagement with a wider set of stakeholders Need for well-defined transition process/duration Commitments relating to waste quantity and quality

Institutional framework Frequent weaknesses Service providers entrusted with parts of MSWM are usually not directly accountable their clients MSWM is usually under the responsibility of municipal departments not having the organisational and technical expertise to handle MSW Performance and efficiency of workforce of the ULB entrusted with MSWM are often far from being satisfactory

Institutional framework Required improvements in framework Authorities and service providers should be for the delivery of the services and sustainability of the MSWM Professionalization of MSWM and its workers and of their technical and managerial capabilities Transparent institutional framework with well-defined roles and responsibilities for each task Authorities to facilitate the processes and to build proper institutions to handle SWM

Professionali- zation Institutional framework Municipality is responsible for waste management from collection to disposal Goals Protection of environmental quality and health conditions Money for service quality – ULB is guardian of public money Principles Accountability for delivery and quality of services Transparent and well defined responsibilities for all tasks Authorities act as service providers to the public Mechanisms Decentrali- zation Delegation Professionali- zation Supervision decision making close to executing actors division of town into zones clear line structure transfer of functions to external actors private sector / CBOs etc. capacity building to workers equipment human resource development well educated staff day-to-day supervision of services data base SLBs

Professionali- zation Institutional framework Municipality is responsible for waste management from collection to disposal Goals Protection of environmental quality and health conditions Money for service quality – ULB is guardian of public money Principles Accountability for delivery and quality of services Transparent and well defined responsibilities for all tasks Authorities act as service providers to the public Mechanisms Decentrali- zation Delegation Professionali- zation Supervision decision making close to executing actors division of town into zones clear line structure transfer of functions to external actors private sector / CBOs etc. capacity building to workers equipment human resource development well educated staff day-to-day supervision of services data base SLBs

Group work on possible objectives for MSWM plan The next slide lists possible objectives for a MSWM plan. Reflect the relevance of these objectives for your municipality and formulate and reflect other desirable objectives for a MSWM plan Select three or more of the objectives listed below or formulate other objectives. increase in coverage of collection, improvement in transportation, improved management of specific waste classes, waste reduction in general, increase of recycling rate, segregation of dry and wet waste, establishment of procedures to prevent hazardous or untreated bio-medical waste from entering municipal waste chain, ensure scientific controlled disposal, establishment of procedures to formalize role of informal sector, achieve financial self-sufficiency,

Group work on possible objectives for MSWM plan (II) Discuss the following list of questions for each objective selected (you can indicate specific situation in single towns): Specific relevance / urgency of the objective for the municipality Data available to provide sound assessment of the situation? Op-tions to improve the database Stakeholders to be involved Analyse realistic options given in your municipality to achieve the objective. Which resources would be required to do so? Discuss with your colleagues from other towns and compare the situations in the towns represented in your work group.

Group work on SLBs in the home towns of the participants SLBs are an important tool for improvement of MSWM. They require a broad database and regular updating of relevant data. Reflect the situation in the home towns of the participants and collect ideas for improvement of the database. Four working groups discuss 2 out of the 8 SLBs for MSWM each Each group answers the questions listed in the table on next slide Discuss with your colleagues from other towns and compare the situations in the towns represented in your work group.

Group work on SLBs in the home towns of the participants   SLB A SLB B SLB checked? Y/N Mode of data collection / calculation; If not checked regularly, which data would be available? Reliability of data Options to improve reliability of data. What would be required for improvement in terms of resources and working processes/ mechanisms? Conclusions from discussion

Group work on using best practice examples to promote solutions in MSWM Topics: Construction of small transfer stations in / or close to housing areas Promotion of segregation of wet and dry waste and big items at source Delegation - engaging informal sector in collection, segregation and composting Create your own project idea Develop a concept and find arguments to convince reluctant decision makers and stakeholders to accept the concept for implementation by answering the following questions: What are the benefits of the selected projects for MSWM? What are the concerns of stakeholders and decision makers you expect? How can / will you address these in your project? Who could support you in promoting the project? Discuss with your colleagues from other towns and analyse the obstacles and concerns in the different towns.

Compile a personal work plan - individual and group work Individual work: Each participant compiles an individual plan for improvement of his / her work within the next 3-6 months: What definite actions will you take within the next months to promote integrated and sustainable MSWM in your municipality? Please consider actions under your direct responsibility, Keep in mind the reasons for non-compliance and options for improvement as analyzed in the working groups during this training. Each participant takes the personal work plan with him / her as a reminder and agrees with a partner to report on progress every 4 weeks within the next 3-6 months. At the end of this period everybody reports to GIZ on the achievements. Group work: Each group compiles a summary presentation of the individual actions for presentation and discussion.

Prepare a report on the outcomes of the training Individual work: Each participant reflects the training course and prepares an individual report to his ULB considering the following leading questions: Which new insights and best practice knowledge have been provided by the training? Which specific ideas and actions to improve the situation in your home towns have been triggered by the course? Please do not only focus on technology, but also consider governance, participation, management, organisation, and monitoring etc. What would you need to convince the decision makers in your ULB? Group work: Each group compiles a summary presentation of the individual analyses for presentation and discussion.

Thank you very much Indo-German Environment Programme (IGEP) Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH  Sustainable Urban Habitat B-5/2, First Floor, Safdurjung Encalve, New Delhi-110029, Tel: +91-11-49495300/01/02